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Universal Roofing d/b/a Universal Roofing & General Contracting

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Released: October 17, 2009

Federal Communications Commission

DA 09-1566

Before the

Federal Communications Commission

Washington, D.C. 20554

)
In the Matter of
)
File No. EB-06-TC-254
)
Universal Roofing
)
NAL/Acct. No. 200832170080
d/b/a Universal Roofing & General Contracting
)
FRN: 0018140293
)

FORFEITURE ORDER

Adopted: August 4, 2009

Released: August 5, 2009

By the Chief, Enforcement Bureau:

I.

INTRODUCTION

1.
In this Forfeiture Order ("Order"), we issue a monetary forfeiture in the amount of
$4,500 against Universal Roofing d/b/a Universal Roofing & General Contracting ("Universal Roofing")
for willful or repeated violations of section 227 of the Communications Act of 1934, as amended ("Act")1
and the Commission's related rules and orders,2 by delivering at least one unsolicited advertisement to the
telephone facsimile machine of at least one consumer.

II.

BACKGROUND

2.
The facts and circumstances surrounding this case are set forth in the Commission's
Notice of Apparent Liability for Forfeiture3 and need not be reiterated at length.
3.
Section 227(b)(1)(C) of the Act makes it "unlawful for any person within the United
States, or any person outside the United States if the recipient is within the United States . . . to use any
telephone facsimile machine, computer, or other device to send, to a telephone facsimile machine, an


1 47 U.S.C. 227.
2 See also 47 U.S.C. 503(b)(1). The Commission has the authority under this section of the Act to assess a
forfeiture against any person who has "willfully or repeatedly failed to comply with any of the provisions of this Act
or of any rule, regulation, or order issued by the Commission under this Act ...."; see also 47 U.S.C. 503(b)(5)
(stating that the Commission has the authority under this section of the Act to assess a forfeiture penalty against any
person who does not hold a license, permit, certificate or other authorization issued by the Commission or an
applicant for any of those listed instrumentalities so long as such person (A) is first issued a citation of the violation
charged; (B) is given a reasonable opportunity for a personal interview with an official of the Commission, at the
field office of the Commission nearest to the person's place of residence; and (C) subsequently engages in conduct
of the type described in the citation).
3 See Universal Roofing d/b/a Universal Roofing & General Contracting, Notice of Apparent Liability for
Forfeiture, DA 08-2145 (Enf. Bur. 2008).

Federal Communications Commission

DA 09-1566

unsolicited advertisement."4 The term "unsolicited advertisement" is defined in the Act and the
Commission's rules as "any material advertising the commercial availability or quality of any property,
goods, or services which is transmitted to any person without that person's prior express invitation or
permission in writing or otherwise."5 Under the Commission's rules, an "established business
relationship"6 exception permits a party to deliver a message to a consumer if the sender has an
established business relationship with the recipient and the sender obtained the number of the facsimile
machine through the voluntary communication by the recipient, directly to the sender, within the context
of the established business relationship, or through a directory, advertisement, or a site on the Internet to
which the recipient voluntarily agreed to make available its facsimile number for public distribution.7
4. On September 9, 2006, in response to one or more consumer complaints alleging that
Universal Roofing had faxed unsolicited advertisements, the Enforcement Bureau ("Bureau") issued a
citation8 to Universal Roofing, pursuant to section 503(b)(5) of the Act.9 The Bureau cited Universal
Roofing for using a telephone facsimile machine, computer, or other device, to send unsolicited
advertisements for commercial roofing, in violation of section 227 of the Act and the Commission's
related rules and orders. The citation warned Universal Roofing that subsequent violations could result in
the imposition of monetary forfeitures of up to $11,000 per violation, and included a copy of the
consumer complaints that formed the basis of the citation.10 The citation informed Universal Roofing that
within 30 days of the date of the citation, it could either request an interview with Commission staff, or
could provide a written statement responding to the citation. Universal Roofing did not request an
interview or otherwise respond to the citation.

5.
Following the issuance of the citation, the Commission received at least one complaint
from a consumer alleging that Universal Roofing faxed at least one unsolicited advertisement to that
consumer. These violations, which occurred after the Bureau's citation, resulted in the issuance of a
Notice of Apparent Liability for Forfeiture against Universal Roofing on September 26, 2008 in the
amount of $4,500.11 The NAL ordered Universal Roofing to either pay the proposed forfeiture amount
within thirty (30) days or submit evidence or arguments in response to the NAL to show that no forfeiture
should be imposed or that some lesser amount should be assessed. Universal Roofing did not respond to
the NAL or pay the proposed forfeiture amount.


4 47 U.S.C. 227(b)(1)(C); 47 C.F.R. 64.1200(a)(3).
5 See 47 U.S.C. 227(a)(4); 47 C.F.R. 64.1200(f)(13).
6 An "established business relationship" is defined as a prior or existing relationship formed by a voluntary two-way
communication "with or without an exchange of consideration, on the basis of an inquiry, application, purchase or
transaction by the business or residential subscriber regarding products or services offered by such person or entity,
which relationship has not been previously terminated by either party." 47 C.F.R. 64.1200(f)(5). See also 47
U.S.C. 227(a)(2).
7 See 47 U.S.C. 227(b)(1)(C); 47 C.F.R. 64.1200(a)(3)(i), (ii).
8 Citation from Kurt A. Schroeder, Deputy Chief, Telecommunications Consumers Division, Enforcement Bureau,
File No. EB-06-TC-254 issued to Universal Roofing on September 9, 2006.
9 See 47 U.S.C. 503(b)(5) (authorizing the Commission to issue citations to persons who do not hold a license,
permit, certificate or other authorization issued by the Commission or an applicant for any of those listed
instrumentalities for violations of the Act or of the Commission's rules and orders).
10 Bureau staff mailed the citation to the following address: Universal Roofing, Attn: Max Bosques, Owner, 3607
Bellmore Road, Baltimore, MD 21244.
11 See n.2 supra; see also 47 U.S.C. 503(b)(1).
2

Federal Communications Commission

DA 09-1566

III.

DISCUSSION

6.
Section 503(b) of the Act authorizes the Commission to assess a forfeiture for each
violation of the Act or of any rule, regulation, or order issued by the Commission under the Act by a non-
common carrier or other entity not specifically designated in section 503 of the Act. The maximum
penalty for such a violation is $11,000 for a violation occurring before September 2, 2008, and $16,000
for a violation occurring on or after September 2, 2008.12 In exercising such authority, we are to 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 such other matters as justice
may require."13

7.
Although the Commission's Forfeiture Policy Statement does not establish a base
forfeiture amount for violating the prohibition against using a telephone facsimile machine to send
unsolicited advertisements, the Commission has previously considered $4,500 per unsolicited fax
advertisement to be an appropriate base amount.14 We apply that base amount to the apparent violation.
8.
Universal Roofing did not respond to the NAL or pay the proposed forfeiture amount.
Universal Roofing has failed to identify facts or circumstances to persuade us that there is a basis for
modifying the proposed forfeiture, and we are not aware of any further mitigating circumstances
sufficient to warrant a reduction of the forfeiture penalty. For these reasons, and based on the information
before us, we hereby impose a total forfeiture of $4,500 for Universal Roofing's willful or repeated
violation of section 227 of the Act and the Commission's related rules and orders, as set forth in the NAL.

IV.

ORDERING CLAUSES

9.
Accordingly, IT IS ORDERED, pursuant to section 503(b) of the Communications Act of
1934, as amended, 47 U.S.C. 503(b), and section 1.80(f)(4) of the Commission's rules, 47 C.F.R.
1.80(f)(4), and under authority delegated by sections 0.111, 0.311 of the Commission's rules, 47 C.F.R.
0.111, 0.311, that Universal Roofing d/b/a Universal Roofing & General Contracting IS LIABLE FOR
A MONETARY FORFEITURE to the United States Government in the sum of $4,500 for willfully and
repeatedly violating section 227(b)(1)(c) of the Communications Act, 47 U.S.C. 227(b)(1)(c), section


12 Section 503(b)(2)(C) provides for forfeitures of up to $10,000 for each violation in cases not covered by
subparagraph (A) or (B), which address forfeitures for violations by licensees and common carriers, among others.
See 47 U.S.C. 503(b). In accordance with the inflation adjustment requirements contained in the Debt Collection
Improvement Act of 1996, Pub. L. 104-134, Sec. 31001, 110 Stat. 1321, the Commission implemented an increase
of the maximum statutory forfeiture under section 503(b)(2)(C) first to $11,000 and more recently to $16,000. See
47 C.F.R. 1.80(b)(3); Amendment of Section 1.80 of the Commission's Rules and Adjustment of Forfeiture Maxima
to Reflect Inflation
, 15 FCC Rcd 18221 (2000)(forfeiture maximum for this type of violator set at $11,000);
Amendment of Section 1.80(b) of the Commission's Rules and Adjustment of Forfeiture Maxima to Reflect Inflation,
19 FCC Rcd 10945 (2004) (amendment of section 1.80(b) to reflect inflation left the forfeiture maximum for this
type of violator at $11,000); Amendment of Section 1.80(b) of the Commission's Rules, Adjustment of Forfeiture
Maxima to Reflect Inflation,
23 FCC Rcd 9845 (2008) (amendment of section 1.80(b) to reflect inflation increased
the forfeiture maximum for this type of violator to $16,000).
13 See 47 U.S.C. 503(b)(2)(D); see also The Commission's Forfeiture Policy Statement and Amendment of Section
1.80 of the Rules to Incorporate the Forfeiture Guidelines, Report and Order
, 12 FCC Rcd 17087, 17100-01 para.
27 (1997) (Forfeiture Policy Statement), recon. denied, 15 FCC Rcd 303 (1999).
14 See Get-Aways, Inc., Notice of Apparent Liability For Forfeiture, 15 FCC Rcd 1805 (1999); Get-Aways, Inc.,
Forfeiture Order, 15 FCC Rcd 4843 (2000); see also US Notary, Inc., Notice of Apparent Liability for Forfeiture, 15
Rcd 16999 (2000); US Notary, Inc., Forfeiture Order, 16 FCC Rcd 18398 (2001); Tri-Star Marketing, Inc., Notice
of Apparent Liability For Forfeiture, 15 FCC Rcd 11295 (2000); Tri-Star Marketing, Inc., Forfeiture Order, 15 FCC
Rcd 23198 (2000).
3

Federal Communications Commission

DA 09-1566

64.1200(a)(3) of the Commission's rules, 47 C.F.R. 64.1200(a)(3), and the related orders as described in
the paragraphs above.
10.
Payment of the forfeiture shall be made in the manner provided for in section 1.80 of the
Commission's rules within thirty (30) days of the release of this Order. If the forfeiture is not paid within
the period specified, the case may be referred to the Department of Justice for collection pursuant to
section 504(a) of the Act.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/Account Number and FRN Number referenced above. Payment by check or money order may be
mailed to Federal Communications Commission, P.O. Box 979088, St. Louis, MO 63197-9000. Payment
by overnight mail may be sent to U.S. Bank Government Lockbox #979088, SL-MO-C2-GL, 1005
Convention Plaza, St. Louis, MO 63101. Payment by wire transfer may be made to ABA Number
021030004, receiving bank TREAS/NYC, and account number 27000001. For payment by credit card, an
FCC Form 159 (Remittance Advice) must be submitted. When completing the FCC Form 159, enter the
NAL/Account number in block number 23A (call sign/other ID), and enter the letters "FORF" in block
number 24A (payment type code). Universal Roofing d/b/a Universal Roofing & General Contracting
will also send electronic notification on the date said payment is made to Johnny.drake@fcc.gov.
Requests for full payment under an installment plan should be sent to: Chief Financial Officer --
Financial Operations, 445 12th Street, S.W., Room 1-A625, Washington, D.C. 20554. Please contact
the Financial Operations Group Help Desk at 1-877-480-3201 or Email: ARINQUIRIES@fcc.gov with
any questions regarding payment procedures.
11.
IT IS FURTHER ORDERED that a copy of the Forfeiture Order shall be sent by First
Class mail and certified mail return receipt requested to Universal Roofing d/b/a Universal Roofing &
General Contracting, Attn.: Max Bosques aka Max Boscowitz, aka Max Miller, 3607 Bellmore Road,
Baltimore, MD 21244; 7616 Carla Road, Baltimore, MD 21208; and 1943 Dundalk Avenue, Baltimore,
MD 21222.
FEDERAL COMMUNICATIONS COMMISSION
Kris Anne Monteith
Chief, Enforcement Bureau


15 47 U.S.C. 504(a).
4

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