******************************************************** 
                      NOTICE
********************************************************

This document was converted from
WordPerfect or Word to ASCII Text format.

Content from the original version of the document such as
headers, footers, footnotes, endnotes, graphics, and page numbers
will not show up in this text version.

All text attributes such as bold, italic, underlining, etc. from the
original document will not show up in this text version.

Features of the original document layout such as
columns, tables, line and letter spacing, pagination, and margins
will not be preserved in the text version.

If you need the complete document, download the
Word or WordPerfect version or Adobe Acrobat version, if available.

*****************************************************************

                           Before the
                Federal Communications Commission
                     Washington, D.C. 20554

                       
In the Matter of                        )
                                   )
James Lee Gaskey                        )    NAL/Acct.        No. 
915KC0002
5215 N. Pine Street                     )         
Davenport, Iowa 52806                        )
                                     
                         FORFEITURE ORDER

     Adopted:  December 29, 1999                        Released:  
December 30, 1999

By the Chief, Enforcement Bureau:

     1.   In this order,  we issue a  monetary forfeiture in  the 
amount of $11,000 against James Lee Gaskey for willful  violation 
of Section  301 of  the Communications  Act of  1934, as  amended 
(``the Act''), 47  U.S.C.   301.  The  noted violation  involves 
radio operation without a license.

     2.   On  April  28,  1999,  the  Commission's  Kansas  City, 
          Missouri Field Office,  pursuant to  Section 503(b)  of 
          the Act, 47 U.S.C.   503(b), and  Section 1.80 of  the 
          Commission's Rules (``the Rules''),  47 C.F.R.   1.80, 
          issued the  referenced  Notice  of  Apparent  Liability 
          (``NAL'') for a  monetary forfeiture in  the amount  of 
          $11,000 to  Mr.  Gaskey  for the  noted  violation.   A 
          response to the NAL was  filed on behalf of Mr.  Gaskey 
          by his  attorney  on June  1,  1999.  For  the  reasons 
          discussed  below,  we  affirm  the  $11,000  forfeiture 
          amount.

                           BACKGROUND

     3.   On August 10, 1998, the  Office of the Chairman of  the 
Federal Communications Commission (``FCC'') received a  complaint 
concerning  interference   to   home   electronic   entertainment 
equipment, allegedly caused  by a Citizen's  Band (``CB'')  radio 
station.  The  complainant specifically  named James  Gaskey,  of 
5215 N. Pine Street, Davenport, Iowa,  as the operator of the  CB 
radio station that was causing the interference.  The complainant 
stated that Mr. Gaskey had CB radio stations in both his home and 
his pickup truck.  

     4.   On September 14, 1998, in response to the complaint  of 
interference, an  FCC agent  from the  Kansas City  Field  Office 
issued a letter  to the radio  operator at 5215  N. Pine  Street, 
Davenport, Iowa, via  certified mail,  return receipt  requested.  
The letter  informed  the  operator of  the  regulations  against 
unlicensed operation of radio equipment  and the use of  external 
RF amplifiers and  non-type accepted  radio equipment  in the  CB 
service.  The letter  also notified  him that  the penalties  for 
unlicensed operation could include  a fine of  up to $11,000  and 
directed the operator to submit a written response to the  Kansas 
City Field Office within  10 days of the  receipt of the  letter.  
According to  the  signed return  receipt  from the  U.S.  Postal 
Service, dated September 16, 1998, Marge Gaskey was the recipient 
of the warning  letter.  Although  the Kansas  City Field  Office 
received the  return receipt  card from  the United  States  Post 
Office, the Kansas City  Field Office did  not receive a  written 
response to the warning letter.

     5.   On October 5, 1998, the Kansas City Field Office issued 
a Notice of Violation (``NOV'') to Mr. James Gaskey and/or  Marge 
Gaskey for failure to respond  to the letter dated September  14, 
1998.  See 47 C.F.R.  95.422.   On October 15, 1998, the  Kansas 
City Field Office received a response from Mr. Gaskey to the NOV.  
In his  response,  Mr. Gaskey  denied  having an  amplifier  ``in 
line'' at his radio  station, and stated that  he would shut  the 
base station  down  until  he  had time  to  verify  whether  the 
interference problem had ceased. 

     6.   On April 8, 1999, FCC agents from the Kansas City Field 
Office used direction finding techniques to locate the source  of 
a very  strong,  wide-banded  signal operating  on  26.835  MHz.1  
Using an FCC  direction finding vehicle,  the agents located  the 
source of the transmissions on 26.835 MHz and traced them to 5215 
N. Pine Street,  Davenport, Iowa.  After  locating the source  of 
the  transmissions,  the  agents  knocked  on  the  door  of  the 
residence and were  greeted by Mr.  Gaskey, who later  identified 
himself with an Iowa driver's license.  Mr. Gaskey permitted  the 
FCC agents to enter the residence and inspect the station. During 
the inspection, Mr.  Gaskey admitted  that he  was operating  the 
station  without  an   authorization.   The  unlicensed   station 
consisted of a non-certified  radio transmitter connected to  two 
external RF power amplifiers, a frequency counter, and an in-line 
watt meter  capable of  registering up  to 5000  watts.  The  FCC 
agents determined that the station operating on 26.835 MHz had an 
output power of 200 watts.

     7.   Prior to knocking on the door of the residence, one  of 
the FCC agents  had noticed  several unusual  boxes connected  to 
coaxial cable  attached to  an  antenna in  a 1996  Dodge  pickup 
truck, Iowa License plate number 516 HER, which was parked in the 
driveway of  the  residence.   After  permitting  the  agents  to 
inspect the  radio  station  located inside  the  residence,  Mr. 
Gaskey allowed  the agents  to inspect  his pickup  truck in  the 
driveway.  The agents discovered another radio station  installed 
in Mr. Gaskey's truck. The agents found a mobile radio station in 
the truck, which was capable  of operation on frequencies in  the 
CB radio spectrum,  and consisted  of a  non-type accepted  radio 
transmitter connected  to  an  external RF  power  amplifier  and 
multimeter.  Upon completion of the inspection, the agents issued 
Mr. Gaskey a warning letter, which informed him of the  violation 
of Section  301  of  the  Act  and  ordered  him  to  immediately 
discontinue the unlicensed operation.  At the request of the  FCC 
agents, Mr. Gaskey signed for receipt of the letter.

     8.   On April 28, 1999, the Kansas City Field Office  issued 
the subject  NAL  to  Mr. Gaskey  for  his  continued  unlicensed 
operation on  26.835 MHz  from 5215  N. Pine  Street,  Davenport, 
Iowa, in violation of Section 301 of the Act.

     9.   On June 1, 1999, the FCC received Mr. Gaskey's response 
to the  NAL.   The response  consisted  of an  undated  document, 
entitled ``Statement of  Income, Expenses,  Assets &  Liabilities 
For: James Lee Gaskey,'' a copy of the first page of Mr. Gaskey's 
1995, 1996 and 1997 federal income tax returns, and a copy of Mr. 
Gaskey's letter  previously received  by  the Kansas  City  Field 
Office on October 15, 1998.   No other information was  provided.  
The  response  did   not  refute  the   violation,  nor  did   it 
specifically request a  rescission or reduction  of the  monetary 
forfeiture amount.  
                           DISCUSSION

     10.  As the NAL explicitly states, the forfeiture amount  in 
this case was assessed in accordance with Section 503 of the Act, 
Section 1.80 of the Rules, and The Commission's Forfeiture Policy 
Statement  and  Amendment  of  Section  1.80  of  the  Rules   to 
Incorporate the Forfeiture Guidelines,  12 FCC Rcd 17087  (1997), 
recon.  denied,  FCC  99-407,  (rel.  Dec.  28,  1999)  (``Policy 
Statement''). In examining Mr. Gaskey's response, Section  503(b) 
of the Act  requires that  the Commission take  into account  the 
nature, circumstances, extent and  gravity of the violation  and, 
with respect  to the  violator, the  degree of  culpability,  any 
history of prior offenses, ability to pay, and other such matters 
as justice may require.  47 U.S.C.  503(b)(2)(D). 

     11.       Section  301  of  the  Act  explicitly   prohibits 
entities from transmitting energy,  communications or signals  by 
radio except under and  in accordance with the  terms of the  Act 
and of a  license granted under  the provisions of  the Act.   47 
U.S.C.  301.  In  the instant case,  Mr. Gaskey admitted  during 
the April 8,  1999 inspection, that  he operated a  non-certified 
radio transmitter for his radio  station on 26.835 MHz without  a 
valid license.  Thus, the violation was willful.2 

     12.  Although Mr. Gaskey's response did not explicitly  seek 
rescission or a  reduction of the  forfeiture amount, we  presume 
his submission of the first page  of his 1995, 1996 and 1997  tax 
returns and the  ``Statement of Income,  etc.'' were intended  to 
demonstrate his inability  to pay the  forfeiture.  However,  the 
purported statement  of income  submitted  fails to  specify  the 
year(s) for  which  the  figures are  applicable,  and  does  not 
indicate how the figures were prepared.  Also, the figures in the 
statement are  not supported  by any  other documentation.   With 
respect to the tax information provided, Mr. Gaskey has  supplied 
incomplete tax returns inasmuch as he has provided only the first 
page of his  tax returns for  1995, 1996 and  1997.  Without  the 
entire tax returns, we are unable to assess the amount of  income 
earned during the  relevant years.   The NAL  clearly states,  at 
footnote two,  that  a  claim  of  inability  to  pay  should  be 
supported by tax returns  or other financial statements  prepared 
under generally  acceptable accounting  procedures for  the  most 
recent  three-year   period.   Undocumented   statements  of   an 
individual's  size  and  financial  condition  do  not  meet  the 
requirement of a particularized showing of financial hardship  or 
inability to  pay.  See,  e.g., Barry  A. Stevenson,  12 FCC  Rcd 
1976, 1977 (1997) (three years  of financial statements or  other 
reliable  and  objective   documentation  accurately   reflecting 
petitioner's current  financial  status required  to  demonstrate 
inability to  pay); Timothy  Harold Hoffman,  11 FCC  Rcd  17463, 
17464 (1996)  (individuals  have submitted  information  such  as 
child  support   payments,  tax   liens,  and   garnishments   to 
corroborate debts or  liabilities); Macau Traders,  Inc., 13  FCC 
Rcd 228, 233 (1998) (no reduction of forfeiture warranted due  to 
undue financial hardship where  violator provided no  documentary 
evidence upon  which  to  evaluate  its  financial  condition  or 
ability to pay).  See also 47 C.F.R.  1.80(f)(3) (``Any  showing 
as to  why  the forfeiture  should  be reduced  shall  include  a 
detailed factual statement and such documentation and  affidavits 
as may be pertinent.''). 

     13.       We have examined Mr. Gaskey's response to the  NAL 
pursuant to the statutory factors above, and in conjunction  with 
the Policy Statement  as well.   As a  result of  our review,  we 
conclude that  Mr.  Gaskey has  failed  to provide  a  sufficient 
justification for reducing the forfeiture amount.  Therefore,  we 
affirm the forfeiture amount of $11,000.

     14.       ACCORDINGLY,  IT  IS  ORDERED  that,  pursuant  to 
Section 503(b) of the Act, and Section 1.80 of the Rules, and the 
Commission's Policy Statement, James Lee  Gaskey IS LIABLE FOR  A 
MONETARY FORFEITURE  in the  amount of  $11,000 for  the  willful 
violation of Section 301 of the Act.

     15.  IT IS FURTHER ORDERED that, pursuant to Section 1.80(f) 
of the Rules, 47 C.F.R.  1.80(f), James Lee Gaskey shall, within 
thirty (30) days of the release of this Forfeiture Order, pay the 
amount of  $11,000 for  violation  of Section  301 of  the  Act.3  
Payment of the forfeiture shall be  made by check or money  order 
drawn on  a U.S.  financial institution  payable to  the  Federal 
Communications Commission.  Payment  may also be  made by  credit 
card with the appropriate documentation.4  The remittance  should 
be marked ``NAL/Acct. No. 915KC0002'' and mailed to the following 
address:

               Federal Communications Commission
               P.O. Box 73482
               Chicago, Illinois  60673-7482
Petitions for reconsideration filed pursuant to Section 1.106  of 
the Rules, 47 C.F.R.   1.106, or  applications for review  filed 
pursuant to Section 1.115 of the  Rules, 47 C.F.R.  1.115,  must 
be received  by the  Commission within  thirty (30)  days of  the 
release of this order at the following address:

               Office of the Secretary            
               Federal Communications Commission
               445 12th Street, S.W.
               Washington, D.C.  20554
               ATTN:     Technical & Public Safety Division
                    Enforcement Bureau

Forfeiture penalties not  paid within  thirty (30)  days will  be 
referred to the U.S.  Attorney for recovery in  a civil suit.  47 
U.S.C.  504(a).

     16.  IT IS FURTHER ORDERED that  a copy of this order  shall 
be sent by certified mail, return receipt requested, to James Lee 
Gaskey, 5215 N. Pine Street, Davenport, Iowa 52806.
                    
                              FEDERAL COMMUNICATIONS COMMISSION  

                              David H. Solomon
                              Chief, Enforcement Bureau
_________________________

1 This frequency is not available for use by CB stations and is 
not authorized for private use.  See Sections 95.407 and 2.106 of 
the Rules, 47 C.F.R.  95.407 and 2.106.

22 Section 312(f)(1) of the Act,  47 U.S.C.  312(f), which  also 
applies to Section  503(b) of  the Act,  provides:  ``[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 or  by  treaty ratified  by  the  United 
States.''  See Southern  California Broadcasting Co.,  6 FCC  Rcd 
4387 (1991).

33 Claims of inability to pay should be supported by tax  returns 
or other financial statements  prepared under generally  accepted 
accounting principles for the most recent three year period.  

44  Requests  for installment  plans  should be  mailed:   Chief, 
Credit & Debt  Management Center, Mail  Stop 1110A2, 445  Twelfth 
Street, S.W., Washington, D.C. 20554.  Payment for the forfeiture 
in installments  may  be  considered  as  a  separate  matter  in 
accordance with Section 1.1914 of the Rules, 47 C.F.R.   1.1914.  
Please  contact  Chief,  Credit  &  Debt  Management  Center  for 
information regarding credit card payments.