1 / 28

Enforcement Bureau Topics Describe the responsibilities of the FCC Field Offices.

Enforcement Bureau Topics Describe the responsibilities of the FCC Field Offices. Discuss the investigation/enforcement process. FCC Field Office. Field Offices are critical to the FCC’s ability to:

mac
Download Presentation

Enforcement Bureau Topics Describe the responsibilities of the FCC Field Offices.

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. Enforcement Bureau Topics Describe the responsibilities of the FCC Field Offices. Discuss the investigation/enforcement process.

  2. FCC Field Office Field Offices are critical to the FCC’s ability to: Ensure the availability of communications during emergencies for purposes of public safety and Homeland Security. Promote efficient use of the radio spectrum.

  3. NE Region Operations Plan Major Action Elements: Public Safety and Homeland Security Spectrum Enforcement Media Competition and Broadband

  4. NE Region Operations Plan Public Safety and Homeland Security Interference to Public Safety Federal, State and Local Government Cable Signal Leakage Emergency Alert System (EAS) Antenna Structure Enforcement

  5. NE Region Operations Plan Public Safety and Homeland Security Search and Rescue Emergency Response Exercises Coast Guard, FAA and Air Force Public Safety Outreach Special Projects VOIP and E-911 RF Radiation Exposure Enforcement

  6. NE Region Operations Plan Spectrum Enforcement Interference to Non-Safety Business and Commercial Radio Services Unlicensed Operation Enforcement Land Mobile and Broadcast Pirates Marketing Enforcement US Customs Investigate Spy Shops, Trade Shows, etc.

  7. Enforcement Investigations Determine Who, What, When, Where, Why and How Develop a convincing case to show a violation occurred through: Handwritten notes Inspection reports, Photographs, Tape recordings, Interviews, License checks, and Signed statements/documents

  8. Enforcement Resources (Equipment) MDDF (Mobile Digital Direction Finding) Remote Direction Finding and Monitoring Equipment Spectrum Analyzers Field Strength Meters RF Radiation Survey Equipment

  9. Enforcement Resources (Administrative) Federal Law Enforcement Training Interviewing, Evidence Gathering, Report Writing Inspection Protocols Inspection Checklists Non-Hearing Administrative Subpoenas Letter of Inquiry Request for specific information

  10. Enforcement Complaint Investigation • Monetary Forfeitures • Consent Decrees • Revocation • Criminal Prosecution • Equipment Seizures Sanction • Admonishments • Warnings • Citations • Notices of Violation Correct Violation Re-Inspection

  11. Enforcement Admonishment and Warnings Violation only warrants an admonishment or warning Violation is deemed minor, or Issuance of a fine is impermissible or inappropriate. Informs subject that its actions violate FCC Rules and Regulations Allows Bureau to establish record of enforcement action

  12. Enforcement Citations Provides notice to parties who do not ordinarily conduct business with the FCC Appropriate for person not holding an FCC license, permit, certificate or other authorization Exceptions: Activity requires a license or is licensed by statute (e.g. CB) Cable Operator Tower Owner

  13. Enforcement Notice of Violation (NOV) Provides notice to licensee, permittee, or party holding FCC authorization. Requires violator to make written response. usually within 20 days to the field office Based on response, a field office may take no further action, conduct further investigation, issue a follow-up NOV or issue a Notice of Apparent Liability (forfeiture). Failure to respond can result in forfeiture

  14. Enforcement Notice of Apparent Liability (NAL) Informs subject that it has apparently violated the Communications Act, Commission Rule, order or terms of an authorization. Must provide specific details for apparent violation Informs subject of amount of monetary forfeiture

  15. Enforcement Notice of Apparent Liability (NAL) Violation must be willful and/or repeated “Willful” means the conscious and deliberate commission or omission of an act, irrespective or intent to violate a statue or regulation “Repeated” means the commission or omission of an act more than once or, if continuous, on more than one day.

  16. Enforcement Notice of Apparent Liability (NAL) Subject has 30 days from release date to file a response explaining: Why it has not violated the specified provision; Why the violation was not willful and/or repeated; or Why the forfeiture amount should be mitigated or cancelled. Alternatively, the subject may ignore the NAL or pay the full forfeiture amount.

  17. Enforcement Notice of Apparent Liability (NAL) If the subject fails to pay the forfeiture the FCC must review any response and decide whether to issue a Forfeiture Order. In the Forfeiture Order (“FO”) the Commission may: Issue the FO in the full amount specified in the NAL. Issue the FO for a reduced amount Cancel the forfeiture.

  18. Enforcement Notice of Apparent Liability (NAL) Upon issuance of FO, subject may Pay the forfeiture resulting in closure. Ignore the Forfeiture Order resulting in referral to Department of Justice for collection File a Petition for Reconsideration or Application for Review The Commission must issue a Memorandum Opinion and Order resolving the subject’s pleading.

  19. Enforcement Notice of Apparent Liability (NAL) Subject has a right to a trial de novo in federal district court where a federal district judge will issue a decision.

  20. Enforcement Notice of Apparent Liability (NAL) Forfeiture Amount Determination Based Forfeiture Amounts (47 C.F.R. Section 1.80) Guidelines for Accessing Forfeitures Inability to pay (supported by tax statements) History of compliance Disclosure of violation prior to FCC investigation Limits of Liability $11,000 for each violation or each day of continuing violation, up to $87,500. (Broadcasters and Common Carriers have different limits)

  21. Enforcement Based Forfeiture Amounts (47 C.F.R. 1.80) Unlicensed Operation $10,000 Tower marking and/or lighting $10,000 Unauthorized substantial transfer of control $8,000 EAS equipment not installed or operational $8,000 Failure to permit inspection $7,000 Interference $7,000 Importation/marketing of unauthorized equipment $7,000 Exceeding of authorized antenna height $5,000 Unauthorized discontinuance of service $5,000 Use of unauthorized equipment $5,000 Exceeding power limits $4,000 Failure to respond to Commission communications $4,000 Unauthorized emissions $4,000 Using unauthorized frequency $4,000 Failure to engage in frequency coordination $4,000 Construction or operation at unauthorized location $4,000 Failure to make required measurements $2,000 Failure to provide station ID $1,000

  22. Enforcement Consent Decrees An agreement that sets forth the terms and conditions of acceptable behavior to which the party must conform. Typically requested by the subject of an investigation. Ensures violations are corrected. Terminates the investigation and forfeiture process Results in faster resolution of enforcement proceeding The party generally does not admit wrongdoing but makes a contribution to the U.S. Treasury.

  23. Enforcement Cease and Desist Orders Generally for major violations. Inherent in the Order is the threat of monetary penalties and possible revocation of the subject’s license if Order is not obeyed. Typically used for those cases where subject refuses to comply.

  24. Enforcement Revocation Most serious enforcement sanction available. Only for the most egregious types of offenses that raise questions about the licensee’s qualifications to be or remain a licensee. Misrepresentation Lack of candor Repeated violation of the Act or Rules. Must be preceded by Order to Show Cause obtained through an Administrative Law Judge.

  25. Enforcement Criminal Prosecution FCC has no authority to initiate criminal action against a subject. Case must be referred to Department of Justice. Only for those cases where agency’s other remedies have been ineffective.

  26. Enforcement In Rem Process Most often used for the seizure of radio transmitting equipment of unlicensed broadcast stations. Requires that submittal of affidavit to Federal District Court With the assistance of the Assistant US Attorney, FCC files a complaint requesting the issuance of an in rem seizure warrant. Executed by the US Marshal Service.

  27. Enforcement Back in the Day All Sanctions drafted and released by Field Office. Today Process now involves a high level of legal and engineering review.

  28. Enforcement Summary Enforcement - Areas of Concentration Public Safety and Homeland Security Spectrum Enforcement Investigation of Complaints Sanction Admonishment, Warning, Notice of Violation, and Citation Notice of Apparent Liability/Forfeiture Order and Consent Decrees Cease and Desist, License Revocation, Criminal Prosecution, In Rem

More Related