**Before the**

**Federal Communications Commission**

**Washington, D.C. 20554**

+----------------------------------+---+---------------------------------+
| In the Matter of                 | ) | File Number EB-06-ST-184        |
|                                  |   |                                 |
| James J. Grinton                 | ) | NAL/Acct. No. 200732980002      |
|                                  |   |                                 |
| Amateur Licensee K7VNI           | ) | FRN: 0016955924                 |
|                                  |   |                                 |
| Bellingham, Washington           | ) |                                 |
|                                  |   |                                 |
|                                  | ) |                                 |
|                                  |   |                                 |
|                                  | ) |                                 |
|                                  |   |                                 |
|                                  | ) |                                 |
+----------------------------------+---+---------------------------------+

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

> Released: September 25, 2007

By the District Director, Seattle Office, Western Region, Enforcement
Bureau:

# INTRODUCTION

1.  In this Notice of Apparent Liability for Forfeiture (\"NAL\"), we
    find that James J. Grinton (\"Grinton\"), licensee of Amateur
    station K7VNI, in Bellingham, Washington apparently willfully and
    repeatedly violated Section 97.113(b) and Section 97.119(a) of the
    Commission's Rules ("Rules")[^1] by transmitting one-way
    communications and by failing to transmit his assigned call sign in
    the Amateur Radio Service. We conclude, pursuant to Section 503(b)
    of the Communications Act of 1934, as amended (\"Act\"),[^2] that
    Grinton is apparently liable for a forfeiture in the amount of seven
    thousand dollars (\$7,000).

# BACKGROUND 

2.  On December 7, 2006, in response to a complaint alleging intentional
    interference to amateur radio communications on the 146.340/146.940
    MHz repeater (Call sign VE7RPT) repeater**,** an agent from the
    Enforcement Bureau's Seattle Office, using mobile direction finding
    techniques, located the source of the signal to the residence of
    amateur radio operator K7VNI, James Grinton, in Bellingham,
    Washington.

3.  During the period of December 9, 2006 to January 1, 2007, the
    Seattle agent monitored 146.340 MHz (repeater input frequency) and
    observed 59 transmissions of varying lengths from Grinton's
    residence.

4.  On January 19, 2007, the Seattle Field Office issued a Warning of
    Interference to Communications Letter to James J. Grinton, K7VNI
    ("Warning Letter"). The Warning Letter informed Grinton that his
    station may be the source of willful or malicious interference to
    amateur communications and that if the "transmissions continue, you
    will be investigated during ongoing FCC enforcement efforts. If such
    an investigation indicates that you have violated the Communications
    Act or any FCC Rules, you could be subject to severe penalties,
    including, but not limited to, substantial monetary forfeitures, and
    criminal sanctions including imprisonment."

5.  On January 25, 2007, Grinton received and signed a receipt for the
    Warning Letter, but has not sent a response to the Seattle Office.

6.  On February 27, 2007, in response to continued complaints, a Seattle
    agent using mobile direction finding techniques, again located the
    source of a signal on 146.340 MHz to Grinton's residence in
    Bellingham, Washington. The Seattle agent monitored and recorded 17
    minutes of a continuous transmission of one-way communications of
    music by Grinton on 146.340 MHz.

7.  On March 5, 2007, the Seattle agent, using mobile direction finding
    techniques, again located the source of a signal on 146.340 MHz to
    Grinton's residence in Bellingham, Washington. The Seattle agent
    monitored and recorded 15 minutes of a continuous transmission of
    one-way communications of music by Grinton on 146.340 MHz.

8.  During the period of January 19, 2007 to June 23, 2007, the Seattle
    agent monitored 146.340 MHz and observed 163 transmissions by
    Grinton in which Grinton failed to transmit his assigned call sign
    (K7VNI).

# DISCUSSION

9.  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.[^3] The term "repeated" means the
    commission or omission of such act more than once or for more than
    one day.[^4]

10. Section 97.113(b) of the Rules[^5] states that "\[a\]n amateur
    station shall not engage in any form of broadcasting, nor may an
    amateur station transmit one-way communications . . . ." Grinton is
    a licensed amateur operator and on February 27, 2007, and March 5,
    2007, Grinton transmitted one way communications of music of 17 and
    15 minutes in length, respectively. Grinton was previously warned by
    the Seattle Office that any subsequent violation of the Commission's
    Rules could result in monetary forfeitures. Consequently, Grinton's
    violation was willful. The violation occurred on more than one day,
    therefore, it was repeated.

11. Section 97.119(a) of the Rules[^6] states that "\[e\]ach amateur
    station, except a space station or telecommand station, must
    transmit its assigned call sign on its transmitting channel at the
    end of each communication, and at least every 10 minutes during a
    communication, for the purpose of clearly making the source of the
    transmissions from the station known to those receiving the
    transmissions." Between January 19, 2007, and June 23, 2007, a
    Seattle agent monitored 146.340 MHz and observed 163 transmissions
    by Grinton in which Grinton failed to transmit his assigned call
    sign (K7VNI). Grinton was previously warned by the Seattle Office
    that any subsequent violation of the Commission's Rules could result
    in monetary forfeitures. Consequently, Grinton's violation was
    willful. The violation occurred on more than one day, therefore, it
    was repeated.

12. 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 unauthorized emissions
    is \$4,000 and base forfeiture amount for failure to provide station
    ID is \$1,000.[^7] 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.[^8] Based on the criteria in Section 503(b)(2)(E) of
    the Act, and the upward adjustment criteria in the Forfeiture Policy
    Statement, we find that an upward adjustment of the base forfeiture
    amount of \$1,000 for failure to provide station ID is
    warranted.[^9] Grinton apparently failed to transmit his amateur
    operator call sign on over 160 transmissions in a five month period.
    Grinton had previously been warned by the Seattle Office concerning
    FCC Rule violations. Considering the entire record and applying the
    factors listed above, we conclude that Grinton is apparently liable
    for a forfeiture in the amount of \$3,000 for his failure to provide
    station ID, and is apparently liable for a \$4,000 forfeiture for
    unauthorized emissions.

# ORDERING CLAUSES

13. 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, James J. Grinton
    is hereby **NOTIFIED** of this **APPARENT LIABILITY FOR A
    FORFEITURE** in the amount of seven thousand dollars (\$7,000) for
    violations of Sections 97.113(b) and 97.119(a) of the Rules.[^10]

14. **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, James J. Grinton
    **SHALL PAY** the full amount of the proposed forfeiture or **SHALL
    FILE** a written statement seeking reduction or cancellation of the
    proposed forfeiture.

15. 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.

16. The response, if any, must be mailed to Federal Communications
    Commission, Enforcement Bureau, Western Region, Seattle Office,
    11410 NE 122^nd^ Way, Suite 312, Kirkland, WA, 98034-6927 and must
    include the NAL/Acct. No. referenced in the caption.

17. 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.

18. 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, Room 1A625,
    445 12th Street, S.W., Washington, D.C. 20554.[^11]

19. **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 James J. Grinton at his
    address of record.

FEDERAL COMMUNICATIONS COMMISSION

Kristine A. McGowan

District Director

Seattle Office

Western Region

Enforcement Bureau

[^1]: 47 C.F.R. §§ 97.113(b), 97.119(a).

[^2]: 47 U.S.C. § 503(b).

[^3]: 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).

[^4]: 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."

[^5]: 47 C.F.R. § 97.113(b).

[^6]: 47 C.F.R. § 97.119(a).

[^7]: 12 FCC Rcd 17087 (1997), *recon. denied*, 15 FCC Rcd 303 (1999);
    47 C.F.R. §1.80.

[^8]: 47 U.S.C. § 503(b)(2)(E).

[^9]: 47 U.S.C. § 503(b)(2)(E); 47 C.F.R. § 1.80(b)(4); *see also*
    *Forfeiture Policy Statement*, 12 FCC Rcd at 17100 -- 01.

[^10]: 47 U.S.C. § 503(b), 47 C.F.R. §§ 0.111, 0.311, 0.314, 1.80,
    97.113(b), 97.119(a).

[^11]: *See* 47 C.F.R. § 1.1914.