**Before the**

**Federal Communications Commission**

**Washington, D.C. 20554**

+----------------------------------+---+---------------------------------+
| In the Matter of                 | ) | File Number: EB-06-PA-001       |
|                                  |   |                                 |
| Ronald Mondgock                  | ) | NAL/Acct. No. 200732400002      |
|                                  |   |                                 |
| Former Licensee of Station       | ) | FRN: 0010-87-6589               |
| KA3OMZ                           |   |                                 |
|                                  | ) |                                 |
| Honeybrook, Pennsylvania         |   |                                 |
|                                  | ) |                                 |
|                                  |   |                                 |
|                                  | ) |                                 |
|                                  |   |                                 |
|                                  | ) |                                 |
+----------------------------------+---+---------------------------------+

## NOTICE OF APPARENT LIABILITY FOR FORFEITURE {#notice-of-apparent-liability-for-forfeiture .unnumbered}

> Released: August 15, 2007

By the District Director, Philadelphia Office, Northeast Region,
Enforcement Bureau:

# INTRODUCTION

1.  In this Notice of Apparent Liability for Forfeiture ("*NAL*"), we
    find that Ronald Mondgock, the former licensee of Novice Class
    Amateur Radio Service station KA3OMZ in Honeybrook, Pennsylvania,
    apparently willfully and repeatedly violated Section 301 of the
    Communications Act of 1934, as amended ("Act")[^1] by operating
    radio transmitting equipment on the frequencies 439.850 MHz and
    147.560 MHz without a license. We conclude, pursuant to Section
    503(b) of the Communications Act of 1934, as amended ("Act"),[^2]
    that Mondgock is apparently liable for a forfeiture in the amount of
    ten thousand dollars (\$10,000).

# BACKGROUND

2.  On June 3, 2006, the Philadelphia Office received information from a
    person who wanted to remain anonymous alleging that Mondgock was
    operating on frequencies which were not authorized by his Novice
    Class license. In response, the Philadelphia Office conducted an
    investigation between August 2006 and December 2006. The agents used
    direction finding techniques to determine that Mondgock operated
    radio transmitting equipment on the frequency 439.850 MHz from his
    residence on September 19, 2006 between 8:45 p.m. and 9:30 p.m. and
    from his vehicle on October 24, 2006, between 5:30 p.m. and 6:02
    p.m. The agents also found that Mondgock was using the frequency
    439.850 MHz as an input to a repeater station that he owned and
    operated on the frequency 147.560 MHz at One Commerce Square
    Building, 2005 Market Street, Philadelphia, Pennsylvania. Novice
    Class licensees are not permitted to operate on the frequencies
    439.850 MHz and 147.560 MHz.[^3]

3.  Agents also determined that Mondgock's Novice Class license for
    amateur radio station KA3OMZ had been in dismissal status as of
    March 17, 2006**.** Although Mondgock had filed a timely renewal
    application on September 15, 2005, for his license that was
    scheduled to expire on December 14, 2005,[^4] the renewal
    application was dismissed on March 18, 2006 because Mondgock failed
    to respond to Commission correspondence.[^5] The Notice of Dismissal
    warned Mondgock that the dismissal was effective March 17, 2006, and
    that he "must cease operations until such time as you come into
    compliance with the Rules." On October 16, 2006, Mondgock filed
    another renewal application, which remains pending with the
    Commission.[^6] Although Mondgock filed another renewal application,
    his authority to operate station KA3OMZ does not resume, if ever,
    until the Commission acts on his renewal application.[^7] As a
    result, Mondgock did not have authority to operate station KA3OMZ as
    of the date of the dismissal of his first license renewal
    application, *i.e.*, March 17, 2006.

4.  On November 20, 2006, agents from the Philadelphia Office
    interviewed Ronald Mondgock at his residence. During the interview,
    Mondgock admitted that he operates radio transmitting equipment on
    the frequency 439.850 MHz from his residence and vehicle and he owns
    and operates a repeater station on the frequency 147.560 MHz from
    the One Commerce Square in Philadelphia, Pennsylvania. Mondgock
    acknowledged that his Novice Class Amateur Radio Service Station
    License KA3OMZ was expired and that his license did not authorize
    him to operate on the frequencies 147.560 MHz and 439.850 MHz.

5.  Immediately after the interview, the agents inspected the Kenwood
    K700 radio transmitter in Mondgock's vehicle. The agents turned on
    the radio transmitter and observed that the front panel digital
    display listed the frequency 147.560 MHz. When the agents conducted
    a test transmission with the radio transmitter, they measured the
    frequency 147.560 MHz with an Optoelectronics Frequency Counter.

6.  On December 20, 2006, the Philadelphia Office issued a Letter of
    Inquiry to Mondgock to request information about the operation of
    station KA3OMZ. By letter dated January 7, 2007, Mondgock submitted
    a response stating that he operated radio transmitting equipment on
    the frequency 439.850 MHz from his vehicle and residence on
    September 19, 2006 and October 24, 2006. Mondgock also stated that
    he owned and operated a repeater station on the frequency 147.560
    MHz at the One Commerce Square in Philadelphia, Pennsylvania. In the
    response, Mondgock stated he had been operating on the frequency
    439.850 MHz for about 2 years and that he had no authorization to
    operate on the frequencies 147.560 MHz and 439.850 MHz.

# DISCUSSION

7.  Section 503(b) of the Act provides that any person who willfully or
    repeatedly fails to comply substantially with the terms and
    conditions of any license, or willfully or repeatedly fails to
    comply with any of the provisions of the Act or of any rule,
    regulation or order issued by the Commission thereunder, shall be
    liable for a forfeiture penalty. The term "willful" as used in
    Section 503(b) has been interpreted to mean simply that the acts or
    omissions are committed knowingly.[^8] The term "repeated" means the
    commission or omission of such act more than once or for more than
    one day.[^9]

8.  Section 301 of the Act requires that no person shall use or operate
    any apparatus for the transmission of energy or communications or
    signals by radio within the United States except under and in
    accordance with the Act and with a license. Mondgock´s authority to
    operate station KA3OMZ terminated on March 17, 2006 when his renewal
    application was dismissed for failure to respond to Commission
    correspondence. In the Notice of Dismissal issued on March 18, 2006,
    Mondgock was warned to immediately cease operations until he could
    come into compliance with the Commission's Rules.[^10]
    Notwithstanding this warning, on September 19, 2006, and October 24,
    2006, Commission agents determined that Mondgock operated radio
    transmitting equipment from his residence and vehicle, respectively,
    on the frequency 439.850 MHz. Agents further determined that
    Mondgock operated a repeater station on 147.560 MHz. Furthermore,
    even if the license for KA3OMZ had been valid on September 19, 2006
    and October 24, 2006, Mondgock´s Novice Class license would not have
    authorized him to operate on the frequencies 147.560 MHz and 439.850
    MHz. Because Mondgock operated an amateur radio station after being
    warned that he no longer had authority to do so and because he
    admitted to such unauthorized operation, we find that the violation
    was willful. Because the violation continued for more than one day,
    it was repeated.

9.  Based on the evidence before us, we find that Mondgock apparently
    willfully and repeatedly violated Section 301 of the Act by
    operating an amateur radio station without a valid license.

10. Pursuant to *The Commission's Forfeiture Policy Statement and
    Amendment of Section 1.80 of the Rules to Incorporate the Forfeiture
    Guidelines,* (\"*Forfeiture Policy Statement*\"), and Section 1.80
    of the Rules, the base forfeiture amount for operating radio
    transmitting equipment without an instrument of authorization is ten
    thousand dollars (\$10,000).[^11] In assessing the monetary
    forfeiture amount, we must also take into account the statutory
    factors set forth in Section 503(b)(2)(E) of the Act, which include
    the nature, circumstances, extent, and gravity of the violations,
    and with respect to the violator, the degree of culpability, and
    history of prior offenses, ability to pay, and other such matters as
    justice may require.[^12] Applying the *Forfeiture Policy
    Statement*, Section 1.80, and the statutory factors to the instant
    case, we conclude that Mondgock is apparently liable for a \$10,000
    forfeiture.

# ORDERING CLAUSES

11. Accordingly**, IT IS ORDERED** that, pursuant to Section 503(b) of
    the Communications Act of 1934, as amended, and Sections 0.111,
    0.311, 0.314 and 1.80 of the Commission\'s Rules, Ronald Mondgock is
    hereby **NOTIFIED** of this **APPARENT LIABILITY FOR A FORFEITURE**
    in the amount of ten thousand dollars (\$10,000) for violations of
    Section 301 of the Act.[^13]

12. **IT IS FURTHER ORDERED** that, pursuant to Section 1.80 of the
    Commission\'s Rules within thirty days of the release date of this
    Notice of Apparent Liability for Forfeiture, Ronald Mondgock **SHALL
    PAY** the full amount of the proposed forfeiture or **SHALL FILE** a
    written statement seeking reduction or cancellation of the proposed
    forfeiture.

13. Payment of the forfeiture must be made by check or similar
    instrument, payable to the order of the Federal Communications
    Commission. The payment must include the NAL/Acct. No. and FRN No.
    referenced above. Payment by check or money order may be mailed to
    Federal Communications Commission, P.O. Box 358340, Pittsburgh, PA
    15251-8340.  Payment by overnight mail may be sent to Mellon
    Bank /LB 358340, 500 Ross Street, Room 1540670, Pittsburgh, PA
    15251.   Payment by wire transfer may be made to ABA
    Number 043000261, receiving bank Mellon Bank, and account
    number 911-6106.

14. The response, if any, must be mailed to Federal Communications
    Commission, Enforcement Bureau, Northeast Region, Philadelphia
    Office, One Oxford Valley Building, Suite 404, 2300 East Lincoln
    Highway, Langhorne, Pennsylvania 19047 and must include the
    NAL/Acct. No. referenced in the caption.

15. The Commission will not consider reducing or canceling a forfeiture
    in response to a claim of inability to pay unless the petitioner
    submits: (1) federal tax returns for the most recent three-year
    period; (2) financial statements prepared according to generally
    accepted accounting practices (\"GAAP\"); or (3) some other reliable
    and objective documentation that accurately reflects the
    petitioner's current financial status. Any claim of inability to pay
    must specifically identify the basis for the claim by reference to
    the financial documentation submitted.

16. Requests for payment of the full amount of this Notice of Apparent
    Liability for Forfeiture under an installment plan should be sent
    to: Associate Managing Director, Financial Operations, 445 12th
    Street, S.W., Room 1A625, Washington, D.C. 20554.[^14]

17. **IT IS FURTHER ORDERED** that a copy of this Notice of Apparent
    Liability for Forfeiture shall be sent by Certified Mail, Return
    Receipt Requested, and regular mail, to Ronald Mondgock at his
    address of record.

FEDERAL COMMUNICATIONS COMMISSION

Gene Stanbro

District Director

Philadelphia Office

Northeast Region

Enforcement Bureau

[^1]: 47 U.S.C. § 301.

[^2]: 47 U.S.C. § 503(b).

[^3]: Section 97.301(e) of the Rules, 47 C.F.R. § 97.301(e), specifies
    that an operator with a Novice Class Amateur Radio Service license
    can operate on the frequencies bands 3.675 MHz through 3.725 MHz,
    7.100 MHz through 7.150 MHz, 21.10 MHz through 21.20 MHz, 28.10 MHz
    through 28.50 MHz, 222 MHz through 225 MHz and 1270 MHz through 1296
    MHz.

[^4]: Section 97.21(a)(3)(iii) provides that, for the type of license
    held by Mondgock, a renewal application must be filed in accordance
    with Section 1.913 of the Rules and if the renewal application is
    filed on or before the license expiration date, "the license
    operating authority is continued until the final disposition of the
    application."

[^5]: The Notice of Dismissal stated that Mondgock failed to reply to a
    Citation dated July 2, 2004. In that Citation, Mondgock was warned
    that, *inter alia*, he had operated on unauthorized frequencies in
    violation of Section 97.301(e) of the Rules and he was directed to
    respond to each of the alleged violations within twenty (20) days.
    We also note that Mondgock received two additional letters regarding
    his failure to respond to the July 2, 2004 letter. *See* Letters
    from Riley Hollingsworth, Special Counsel, Enforcement, to Ronald
    Mondgock, dated November 15, 2004 and February 7, 2006.

[^6]: We also note that, on January 3, 2007, Mondgock filed another
    application (File No. 0002867438) for the renewal of the license
    KA3OMZ. The Commission dismissed that application because it was a
    duplicate of the renewal application that is pending with the
    Commission.

[^7]: Section 97.21(b) provides that, if a renewal application is not
    filed by the license expiration date, a renewal application may be
    filed during a 2 year filing grace period, but "unless and until the
    license grant is renewed, no privileges in this Part are conferred."

[^8]: Section 312(f)(1) of the Act, 47 U.S.C. § 312(f)(1), which applies
    to violations for which forfeitures are assessed under Section
    503(b) of the Act, provides that "\[t\]he term \'willful\', when
    used with reference to the commission or omission of any act, means
    the conscious and deliberate commission or omission of such act,
    irrespective of any intent to violate any provision of this Act or
    any rule or regulation of the Commission authorized by this Act...."
    *See Southern California Broadcasting Co.*, 6 FCC Rcd 4387 (1991).

[^9]: Section 312(f)(2) of the Act, 47 U.S.C. § 312(f)(2), which also
    applies to violations for which forfeitures are assessed under
    Section 503(b) of the Act, provides that "\[t\]he term \'repeated\',
    when used with reference to the commission or omission of any act,
    means the commission or omission of such act more than once or, if
    such commission or omission is continuous, for more than one day."

[^10]: As noted above, Section 97.21(b) provides that, for renewal
    applications filed after the license expiration date, ¨unless and
    until the license grant is renewed, no privileges in this Part are
    conferred.¨

[^11]: 12 FCC Rcd 17087 (1997), *recon. denied*, 15 FCC Rcd 303 (1999);
    47 C.F.R. §1.80.

[^12]: 47 U.S.C. § 503(b)(2)(E).

[^13]: 47 U.S.C. §§ 503(b) and 301, 47 C.F.R. §§ 0.111, 0.311, 0.314 and
    1.80.

[^14]: ^8^ *See* 47 C.F.R. § 1.1914.