Note 1 to paragraph (a): A forfeiture penalty assessed under this section is in addition to any other penalty provided for by the Communications Act, except that the penalties provided for in paragraphs (b)(1) through (4) of this section shall not apply to conduct which is subject to a forfeiture penalty or fine under sections 202(c), 203(e), 205(b), 214(d), 219(b), 220(d), 223(b), 364(a), 364(b), 386(a), 386(b), 506, and 634 of the Communications Act. The remaining provisions of this section are applicable to such conduct.
Table 1 to Paragraph (b)(11)-Base Amounts for Section 503 Forfeitures
Forfeitures | Violation amount |
Misrepresentation/lack of candor | (1) |
Failure to file required DODC required forms, and/or filing materially inaccurate or incomplete DODC information | $15,000 |
Construction and/or operation without an instrument of authorization for the service | 10,000 |
Failure to comply with prescribed lighting and/or marking | 10,000 |
Violation of public file rules | 10,000 |
Violation of political rules: Reasonable access, lowest unit charge, equal opportunity, and discrimination | 9,000 |
Unauthorized substantial transfer of control | 8,000 |
Violation of children's television commercialization or programming requirements | 8,000 |
Violations of rules relating to distress and safety frequencies | 8,000 |
False distress communications | 8,000 |
EAS equipment not installed or operational | 8,000 |
Alien ownership violation | 8,000 |
Failure to permit inspection | 7,000 |
Transmission of indecent/obscene materials | 7,000 |
Interference | 7,000 |
Importation or marketing of unauthorized equipment | 7,000 |
Exceeding of authorized antenna height | 5,000 |
Fraud by wire, radio or television | 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 |
Violation of sponsorship ID requirements | 4,000 |
Unauthorized emissions | 4,000 |
Using unauthorized frequency | 4,000 |
Failure to engage in required frequency coordination | 4,000 |
Construction or operation at unauthorized location | 4,000 |
Violation of requirements pertaining to broadcasting of lotteries or contests | 4,000 |
Violation of transmitter control and metering requirements | 3,000 |
Failure to file required forms or information | 3,000 |
Per call violations of the robocall blocking rules | 2,500 |
Failure to make required measurements or conduct required monitoring | 2,000 |
Failure to provide station ID | 1,000 |
Unauthorized pro forma transfer of control | 1,000 |
Failure to maintain required records | 1,000 |
Table 2 to Paragraph (b)(11)-Violations Unique to the Service
Violation | Services affected | Amount |
Unauthorized conversion of long distance telephone service | Common Carrier | $40,000 |
Violation of operator services requirements | Common Carrier | 7,000 |
Violation of pay-per-call requirements | Common Carrier | 7,000 |
Failure to implement rate reduction or refund order | Cable | 7,500 |
Violation of cable program access rules | Cable | 7,500 |
Violation of cable leased access rules | Cable | 7,500 |
Violation of cable cross-ownership rules | Cable | 7,500 |
Violation of cable broadcast carriage rules | Cable | 7,500 |
Violation of pole attachment rules | Cable | 7,500 |
Failure to maintain directional pattern within prescribed parameters | Broadcast | 7,000 |
Violation of broadcast hoax rule | Broadcast | 7,000 |
AM tower fencing | Broadcast | 7,000 |
Broadcasting telephone conversations without authorization | Broadcast | 4,000 |
Violation of enhanced underwriting requirements | Broadcast | 2,000 |
Table 3 to Paragraph (b)(11)-Adjustment Criteria for Section 503 Forfeitures
Upward Adjustment Criteria: |
(1) Egregious misconduct. |
(2) Ability to pay/relative disincentive. |
(3) Intentional violation. |
(4) Substantial harm. |
(5) Prior violations of any FCC requirements. |
(6) Substantial economic gain. |
(7) Repeated or continuous violation. |
Downward Adjustment Criteria: |
(1) Minor violation. |
(2) Good faith or voluntary disclosure. |
(3) History of overall compliance. |
(4) Inability to pay. |
Table 4 to Paragraph (b)(11)-Non-Section 503 Forfeitures That Are Affected by the Downward Adjustment Factors1
Violation | Statutory amount after 2024 annual inflation adjustment |
Sec. 202(c) Common Carrier Discrimination | $14,697, $735/day. |
Sec. 203(e) Common Carrier Tariffs | $14,697, $735/day. |
Sec. 205(b) Common Carrier Prescriptions | $29,395. |
Sec. 214(d) Common Carrier Line Extensions | $2,939/day. |
Sec. 219(b) Common Carrier Reports | $2,939/day. |
Sec. 220(d) Common Carrier Records & Accounts | $14,697/day. |
Sec. 223(b) Dial-a-Porn | $152,310/day. |
Sec. 227(e) Caller Identification | $14,067/violation. $42,200/day for each day of continuing violation, up to $1,406,728 for any single act or failure to act. |
Sec. 364(a) Forfeitures (Ships) | $12,249/day (owner). |
Sec. 364(b) Forfeitures (Ships) | $2,451 (vessel master). |
Sec. 386(a) Forfeitures (Ships) | $12,249/day (owner). |
Sec. 386(b) Forfeitures (Ships) | $2,451 (vessel master). |
Sec. 511 Pirate Radio Broadcasting | $2,391,097, $119,555/day. |
Sec. 634 Cable EEO | $1,086/day. |
1 Unlike section 503 of the Act, which establishes maximum forfeiture amounts, other sections of the Act, with two exceptions, state prescribed amounts of forfeitures for violations of the relevant section. These amounts are then subject to mitigation or remission under section 504 of the Act. One exception is section 223 of the Act, which provides a maximum forfeiture per day. For convenience, the Commission will treat this amount as if it were a prescribed base amount, subject to downward adjustments. The other exception is section 227(e) of the Act, which provides maximum forfeitures per violation, and for continuing violations. The Commission will apply the factors set forth in section 503(b)(2)(E) of the Act and this table 4 to determine the amount of the penalty to assess in any particular situation. The amounts in this table 4 are adjusted for inflation pursuant to the Debt Collection Improvement Act of 1996 (DCIA), 28 U.S.C. 2461 . These non-section 503 forfeitures may be adjusted downward using the "Downward Adjustment Criteria" shown for section 503 forfeitures in table 3 to this paragraph (b)(11).
Note 2 to paragraph (b)(11): Guidelines for Assessing Forfeitures. The Commission and its staff may use the guidelines in tables 1 through 4 of this paragraph (b)(11) in particular cases. The Commission and its staff retain the discretion to issue a higher or lower forfeiture than provided in the guidelines, to issue no forfeiture at all, or to apply alternative or additional sanctions as permitted by the statute. The forfeiture ceilings per violation or per day for a continuing violation stated in section 503 of the Communications Act and the Commission's rules are described in paragraph (b)(12) of this section. These statutory maxima became effective September 13, 2013. Forfeitures issued under other sections of the Act are dealt with separately in table 4 to this paragraph (b)(11).
Table 5 to Paragraph (b)(12)(ii)
U.S. Code citation | Maximum penalty after 2024 annual inflation adjustment |
47 U.S.C. 202(c) | $14,697. $735. |
47 U.S.C. 203(e) | $14,697. $735. |
47 U.S.C. 205(b) | $29,395. |
47 U.S.C. 214(d) | $2,939. |
47 U.S.C. 219(b) | $2,939. |
47 U.S.C. 220(d) | $14,697. |
47 U.S.C. 223(b) | $152,310. |
47 U.S.C. 227(b)(4)(B) | $61,238, plus an additional penalty not to exceed $11,955. $612,395, plus an additional penalty not to exceed $11,955. $244,958, plus an additional penalty not to exceed $11,955. $2,449,575, plus an additional penalty not to exceed $11,955. $495,500, plus an additional penalty not to exceed $11,955. $4,573,840, plus an additional penalty not to exceed $11,955. $24,496, plus an additional penalty not to exceed $11,955. $183,718, plus an additional penalty not to exceed $11,955. $140,674, plus an additional penalty not to exceed $11,955. $1,406,728, plus an additional penalty not to exceed $11,955. |
47 U.S.C. 227(e) | $14,067. $42,200. $1,406,728. |
47 U.S.C. 362(a) | $12,249. |
47 U.S.C. 362(b) | $2,451. |
47 U.S.C. 386(a) | $12,249. |
47 U.S.C. 386(b) | $2,451. |
47 U.S.C. 503(b)(2)(A) | $61,238. $612,395. |
47 U.S.C. 503(b)(2)(B) | $244,958. $2,449,575. |
47 U.S.C. 503(b)(2)(C) | $495,500. $4,573,840. |
47 U.S.C. 503(b)(2)(D) | $24,496. $183,718. |
47 U.S.C. 503(b)(2)(F) | $140,674. $1,406,728. |
47 U.S.C. 507(a) | $2,426. |
47 U.S.C. 507(b) | $356. |
47 U.S.C. 511 | $2,391,097. $119,555. |
47 U.S.C. 554 | $1,086. |
Sec. 6507(b)(4) of Tax Relief Act | $1,317,380/incident. |
Sec. 6507(b)(5) of Tax Relief Act | $131,738/call. |
Note 3 to paragraph (b)(12): Pursuant to Public Law 104-134, the first inflation adjustment cannot exceed 10 percent of the statutory maximum amount.
47 C.F.R. §1.80