When a person files a formal complaint and does not request an informal small claims procedure, or the other party does not agree to the procedure, the Complaint is assigned to an Administrative Law Judge (ALJ).

No, this can be done with or without an attorney.

The ALJ is authorized under the Commission’s rules to conduct conferences and hearings so that the Commission can decide the matter in the most speedy and inexpensive way possible, depending upon the nature of the dispute, its complexity, the number of parties involved, etc.

The ALJ may:

• Refer the dispute to a Commission Mediator
• Issue an initial decision promptly
• Establish a procedure to gather necessary evidence
• Allow parties to review each others’ evidence
• Proceed to a hearing

A hearing resembles a courtroom trial in which witnesses will testify under oath and be cross-examined. However, such a hearing is a last resort when efforts to settle the dispute with the help of the Commission’s mediators have not succeeded or the ALJ cannot issue an early decision because the facts are disputed and a more fully developed evidentiary record is required.

Yes, either side can appeal the ALJ’s "initial decision" to the full Commission, which cannot be done under the "small claims" procedure.

Generally, agreements by and among ocean common carriers that provide for the fixing of rates, charges and other conditions of service; the pooling of revenues; the fixing of sailing schedules; the sharing of vessel space; the regulating of competition; the discussion of service contract matters; or any exclusive, preferential, cooperative working arrangement between carriers or with or among marine terminal operators are subject to filing.  Pricing agreements between and among marine terminal operators or between marine terminal operators and ocean common carriers are also required to be filed. 46 C.F.R. § 535.201.

Agreements subject to filing are to be submitted to the Secretary of the Commission at its Washington DC Office, 800 North Capitol Street, NW, Washington, DC 20573. Along with the original signed copy of the agreement, the parties are to submit seven extra copies of the agreement and the appropriate filing fee. 46 CFR § 535.401(g).  Certain agreements require the submission of an Information Form, see 46 C.F.R. 535.501 for applicability.

Commission regulations require that most types of ocean common carrier agreements (including those that have the authority to discuss tariffs, any kind of rate or charge, capacity rationalization, joint service, pooling or service contracts), unless they are low market share agreements (defined at 46 CFR 535.311) submit an Information Form. 46 C.F.R. § 535.503; 46 C.F.R. § 535.201(a).

The Information Form collects and organizes service and economic data of the proposed agreement. 46 C.F.R. 535 Appendix A.

Contact the Bureau of Trade Analysis’ Office of Agreements by phone (202) 523-5796, by fax (202) 523-4372, or via email tradeanalysis@fmc.gov.  Copies of agreements involving ocean common carriers may also be downloaded from the FMC website.

The Bureau of Trade Analysis’ Office of Agreements can provide listings of agreements indexed by various means, including individual carrier name, the type of agreement, and by geographic region, such as Asia, North Europe, and the Indian Subcontinent. The Commission can also provide a complete list of all conference agreements.

You may contact the Bureau of Trade Analysis' Office of Agreements as indicated above.

Form FMC-1 is an Internet-based electronic form to collect tariff location addresses and other specific organizational information of conferences, ocean common carriers, OTIs and MTOs. The information is entered directly into the FMC-1 Form on-line via the Internet.

The Commission’s Rules governing Form FMC-1 are located under 46 CFR § 520.3(d) and (e) for vessel-operating-common carriers/conferences and 46 CFR § 525.3(f) for marine terminal operators. Electronic submission of the Form FMC-1 data is mandatory under Commission Rules. The system processes the information collected in the electronic form and posts the carriers, ocean transportation intermediaries, conferences, and marine terminal operators’ tariff location addresses on the Carriers’ List located on the Commission homepage. The Commission uses the information collected to access the actual tariff publication and review for compliance with Commission rules and regulations. The public uses the Carriers’ List to locate carriers’ tariff location addresses to access tariff publications, and to verify OTI/NVOCC status as set forth under 46 CFR § 515.27(d). Click Here To File a Form FMC-1 For assistance completing the form, please click the HELP button in the upper right-hand corner of the form or contact the Commission on 202-523-5856.

Yes. Each common carrier (including NVOCCs) and conference shall notify the Bureau of Trade Analysis, prior to the commencement of common carrier service pursuant to a published tariff, of its organization number, home office address, name and telephone number of firm’s representative, the location of its tariffs, and the publisher, if any, used to maintain its tariffs, by electronically submitting Form FMC-1 via the Commission’s website at www.fmc.gov. 46 CFR § 520.3(d).

Any changes to the FMC-1 information shall be immediately transmitted to the Bureau of Trade Analysis. § 520.3(d). The filer’s changes can be entered electronically from the View Carrier-OTI List, File FMC-1 main menu, select "Edit an Existing FMC-1 Form, via the Commission’s website, www.fmc.gov.

The Commission’s staff will provide a unique organization number to a new entity operating as a common carrier or conference in the U.S. foreign commerce. 46 CFR § 520.3(d). When an organization changes its name, a new Organization Number is assigned. The filer completes an "Initial" FMC-1 Form submission and may leave the Organization Number field blank. A number will be assigned by the FMC staff.

Each vessel operating common carrier, non-vessel-operating common carrier, and conference, except with regard to bulk cargo, forest products, recycled metal scrap, new assembled motor vehicles, waste paper, and paper waste. 46 CFR § 520.3(a)

Rates, charges, classifications, rules, and practices between all points or ports on a carrier’s or conference’s own route and on any through transportation route that has been established. Also, content requirements for some provisions in a tariff are the following: places between which cargo will be carried; level of ocean transportation intermediary compensation; each terminal or other charge...; sample copies of bills of lading; any tariff rules; organization record; commodity descriptions; commodity index; tariff rate items; shippers and requests. 46 CFR § 520.4

Equipment interchange agreements between common carriers subject to part 520 and inland carriers where such agreements are not referred to in carriers’ tariffs and do not affect the tariff rates, charges or practices of the carriers; and terminal barge operators in Pacific Slope states barging containers and containerized cargo by barge between points in the U.S. in certain instance - 46 CFR § 520.13(b)(1), (2), and (3). Tanker services and non-regularly scheduled liner services, such as with tramp vessel operations.

Yes.

Go to the Commission’s website, www.fmc.gov, Click on View Carrier-OTI List/File FMC-1, Click Here to Proceed, Click on View Carrier List, Click on tab for FMC 1 VOCC, or FMC-1 OTI/NVOCC for "accepted filings", Scroll down the list alphabetically to carrier’s name desired, obtain from the Location of Tariff(s) column the carrier’s tariff location address, then logon to the Internet using the tariff location address to find the carrier’s tariff publication in the carrier’s automated tariff system ("CATS"). Some CATS may require that you register to obtain a logon and password to access the system. In addition, a reasonable charge may be assessed to access a CATS system.

Where there may be good cause shown to permit a common carrier to deviate from the provisions of rules governing tariffs under part 520, e.g., for issuance of effective dates on less than the statutory notice under the Commission’s rules; or typographical or clerical errors in tariff publication that cause defective tariff material. 46 CFR § 520.14(a) and (b)

An application for special permission ("SP") may be submitted, in letter form in duplicate, to the Bureau of Trade Analysis, accompanied with a filing fee of $172/$195. The application must contain: Organization name, number and trade name of the conference or carrier; tariff number and title; and the rate, commodity, or rules related to the application, and the special circumstances which the applicant believes constitutes good cause to depart from the requirements of the Commission’s rules under 46 C.F.R. Part 520, Carrier Automated Tariffs. Should the authority sought under the SP application be granted and assigned a Special Case number, implementation of the authority granted by the Commission must be used in its entirety, including the prompt publishing of the material for which permission was requested. The Applicants shall use the special case number assigned by the Commission. 46 CFR § 520.14(c) and (d).

See the Commissions’s Rules of Practice and Procedure at 46 CFR § 502.271. Under these provisions, a common carrier or a shipper may file a special docket application seeking permission for a common carrier or conference to refund or waive collection of a portion of freight charges if specific criteria is met. Such application must be submitted to the Office of the Secretary, Federal Maritime Commission.

Carriers and conferences shall inform BTA, in writing, whenever a tariff is canceled and the effective date of that cancellation. 46 CFR § 520.7(b). A carrier or conference may designate its agent to submit, on its behalf, the written cancellation notice to the Commission.

Carriers and conferences shall maintain the data that appeared i n its their tariff publication system for a period of five (5) years from the date such information is superseded, canceled or withdrawn, and shall provide on-line access to such data for two (2) years. After two (2) years, such data may be retained on-line or in other electronic form, and shall be made available to any person or the Commission upon request in a reasonable period of time. Carriers and conferences may charge a reasonable fee for the provision of historical data, not to exceed the fees for obtaining such data on-line . No fee shall apply to federal agencies. 46 CFR § 520.10(a).

It is a carrier’s or conference’s responsibility for the publication of their tariff in CATS , although they may designate an agent to do so on their behalf. 46 CFR § 520.3(a) and (c). Also, the Commission will periodically review CATS and may prohibit the use of any system that fails to meet the requirements of rules governing tariffs under 46 CFR § 520.10(c).

The matter of payment for services between a carrier or conference and its agent involving CATS is a matter between the parties.

On or before transportation services commence thereunder, or the tariff’s effective date - an OTI/NVOCC must also be in compliance with bonding/licensing requirements under 46 CFR part 515 of the Commission’s rules.

Yes. Any assessorial charge that will be added to the basic ocean freight rate must be listed individually. If there are other rules or charges that may otherwise affect the shipment under certain circumstances(e.g., minimum quantity rules, quantity discounts, or demurrage) the tariff should also indicate them.

The requirement that tariffs provide the capability for a retriever to enter an access date to obtain data in effect on that date was primarily intended to apply to historical tariff data. Nonetheless, if carriers know what rates are going to be in effect on some future date, they are certainly free to provide accurate information to retrievers about such rates. Therefore, access data capabilities should apply to objects that will become effective on a future date.

As stated in 46 CFR § 520.5(a), these codes should serve as a standard baseline for tariff publishers. However, the rule makes clear that publishers can use additional codes, if they clearly define them in their tariffs.

Yes. Section 8(a)(1) of the Shipping Act, requires a conference to keep open for public inspection, in an automated tariff system, a tariff showing all its rates, charges, classifications, rules and practices for the transportation routes served by it. This statutory requirement is carried forward in § 520.3(a) of the tariff rules. In addition, § 520.3(b) requires conferences to publish in their automated tariff systems rates offered pursuant to independent action by their members, and they can only do so if they have a common tariff.

No. Section 8(a)(1) of the Shipping Act only recognizes tariffs of individual common carriers or conferences. Moreover, the definition of "tariff" in 46 CFR § 520.2 states that it is " . . . a publication containing the actual rates, charges, classifications, rules, regulations and practices of a common carrier or a conference of common carriers." The definition further notes that "practices" in tariffs, " . . . in the case of conferences, must be restricted to activities authorized by the basic conference agreement."

On May 1, 1999.

Yes, to the extent the rates of the controlled carrier are not decreased also. Any action of a controlled carrier in publishing a new tariff that would deviate from other requirements applicable to controlled carriers would require separate special permission.

Tariffs may carry-over ATFI tariff items showing the ATFI effective dates in CATS tariffs. On May 1, 1999, all other CATS’ tariff items intended to be effective on May 1, 1999, must show a May 1, 1999 effective date.

A correction is any change to a service contract which has a retroactive effect. 46 CFR § 530.10(a)(2).

For electronic errors see question No. 19 (dealing with electronic transmission errors). For other errors service contract parties may mutually agree to amend the contract, prospectively, or may file an original and duplicate request for a correction with the Commission’s Office of the Secretary within (45) forty-five days of the contract’s filing with the Commission, accompanied by remittance of a $276/$315 service fee. 46 CFR § 530.10(c).

A person can go to the tariff location address of the ocean common carrier or ocean common carrier agreement or conference to view the ET of a service contract required to be made public.

Service contract parties determine the effective date of a service contract as long as the date is not before the service contract filing date. The specific beginning and ending dates must be specified in the service contract. The effective date starts at 12:01a.m. eastern standard time on the beginning of the effective date. This rule also applies to effective dates of amendments.

Form FMC-83 is a service contract registration form. The Form FMC-83 must be filed in order for a filer to obtain user identification, logon and password, to access the SERVCON system to electronically file service contracts.

Go to the Commission’s website, www.fmc.gov, click on Forms and Publications, Office of Service Contracts and Tariffs, Service Contract User Registration Form (FMC-83), print a copy of the form, fill out the form completely with the information requested, and fax a copy of the completed form to the Office of Service Contracts and Tariffs at (202) 523-5867. If there are no problems with the FMC-83, the copy is forwarded to the Office of Information Technology to assign logon and password ID and to send the ID by certified mail to the person named on Line 7 of the form authorized to access SERVCON and file service contracts.

Carriers or conferences that enter into service contracts subject to the Commission’s rules governing service contracts must file a FMC-83 Form. 46 CFR § 530.5(c).

Generally, agreements between and among ocean common carriers that provide for the fixing of rates and charges, the pooling of revenues, the fixing of sailing schedules, the sharing of vessel space, the regulating of competition, the discussing service contract matters, or any exclusive, preferential, cooperative working arrangement between carriers or with marine terminal operators are subject to filing. Also, with some exceptions (see 46 CFR §§ 535.308, 309, 310) agreements between and among marine terminal operators or between marine terminal operators and ocean common carriers are required to be filed also.

Agreements subject to filing are to be submitted to the Secretary of the Commission at 800 North Capitol Street, NW, Washington, DC 20573. Along with the original signed copy of the agreement, the parties are to submit seven extra copies of the agreement and the appropriate filing fee (see 46 CFR 535.401(g)). Certain agreements also require the submission of an Information Form, see 46 CFR 535.501 for applicability.

Contact the Bureau by phone 202-523-5796, by fax 202-523-4372, or via email Tradeanalysis@fmc.gov. In the near future, the public will be able to view and download copies of agreements from this website.

The Bureau can provide listings of agreements indexed on various keys such as individual carrier name, the type of agreement, for example a list of all conferences, and by a particular region of the world, Asia, North Europe, Indian Subcontinent, and the like. Contact the Bureau as indicated above. There is a nominal fee for this service.

You may contact the Bureau as indicated above. In the near future, information on weekly agreement filings will be available through this website.

FOIA is an abbreviation that stands for the "Freedom of Information Act." You can view the Act at http://www.usdoj.gov/oip/foia_guide07/text_foia.pdf.  Pursuant to this Act, the public has the right to request specific documents from the federal government.  When requesting information under FOIA, you should provide as much detail as possible describing the documents you seek.

Not necessarily. A great deal of agency information is available without a FOIA request on the Commission’s website at www.fmc.gov. For a description of documents available without a FOIA request, see the Commission’s regulations at 46 CFR §§ 503.21-24.  If you are uncertain whether you need to file a FOIA request to receive information, call the FOIA Requester Hotline at 202-523-5707 and our staff will assist you.

While the focus of FOIA is on making government information available to the public, the statute recognizes that certain types of information should not be disclosed.  Thus, the FOIA exempts nine categories from the general mandatory disclosure rule. These exemptions are:

1. Classified documents

2. Internal personnel rules and practices

3. Information exempt under other laws

4. Confidential business information

5. Internal government communications

6. Personal privacy

7. Law enforcement

8. Financial institutions

9. Geological information.

The FOIA Officer (FMC Secretary) will determine if any information you requested falls into one of the exempted categories. If so, the entire record may be withheld, or sections of it will be redacted (or omitted.)

Please submit your FOIA request in writing, reasonably describing the record(s) sought. You may submit a FOIA request by either:

1. Email: FOIA@fmc.gov
2. Fax: 202-523-0014
3. Mail to:

Secretary (FOIA)
Federal Maritime Commission
800 North Capitol Street, N.W.
Washington, D.C. 2057

The request must reasonably describe the record or records sought and must also be made in accordance with the Agency’s published FOIA regulations at: 46 CFR 503. The FOIA provides for the charging of fees applicable to the processing of requests. Therefore, please authorize a specific dollar amount that we should not exceed when processing your request. Should the amount you authorize be reached prior to completing the processing of your request, we will contact you prior to proceeding. Information regarding fees for services can be found at: 46 CFR 503 Subpart E - Fees. Please include your contact information on the request.

The FOIA Officer is required to notify you of the reasons your request has been denied in whole or in part.  The FOIA Officer will also include an explanation of the Commission’s appeal process.  An appeal should be addressed to the Chairman, Federal Maritime Commission.  Your appeal letter may contain details of the FOIA request and the FOIA Officer’s denial or it may simply refer to the original request and state that the FOIA Officer’s decision is being appealed.

Federal agencies are entitled to charge certain fees, which depend on the particular category of FOIA requester you fall into.  The Commission’s fees for processing FOIA requests are published on our website at 46 CFR §503.43. You may also call the FOIA Requester Hotline to discuss specific fees applicable to your request, at (202) 523-5707.

You may include in your FOIA request a specific statement limiting the amount of money that you are willing to pay in fees.  If the total fees for processing your request are likely to exceed that amount, the FMC will contact you and offer you an opportunity to narrow your request in order to reduce your fees.   

In general, the Commission does not waive or reduce FOIA service and filing fees. In extraordinary situations, the Commission will accept requests for waivers or fee reductions. Such requests are to be made to the Secretary of the Commission at the time of the FOIA request and must demonstrate that the waiver or reduction of a fee is in the best interest of the public, or that payment of a fee would impose an undue hardship. The Secretary will notify the requester of the decision to grant or deny the request for waiver or reduction of fees.

A Marine Terminal Operator ("MTO") is a person engaged in the United States in the business of furnishing wharfage, dock, warehouse or other terminal facilities in connection with a common carrier and a water carrier subject to Subchapter II of Chapter 135 of Title 49, United States Code. 49 U.S.C. §13521, or in connection with a common carrier. A marine terminal operator includes, but is not limited to, terminals owned or operated by states and their political subdivisions; railroads who perform port terminal services not covered by their line haul rates; common carriers who perform port terminal services; and warehousemen who operate port terminal facilities. Conferences of marine terminal operators are also considered MTOs. 46 CFR § 525.1(c)(13).

MTOs are not required to make their schedule(s) of rates, regulations and practices (formerly called "MTO tariffs") available to the public. A MTO that elects to make their schedules available to the public must make them available in electronic form. When an MTO opts to publish its schedule, its name and location address of its schedule(s) provided in its FMC-1.  The names of MTOs that opt not to make their schedule(s) available to the public are not posted on the website, but are maintained in the Commission’s Form FMC-1 internal database. Should an MTO maintain parallel terminal schedules in paper form for entities in the shipping industry who are unable to access electronic terminal schedules, the electronic version will govern in the event of a conflict with the parallel paper form of terminal schedules since the electronic format is the required method of publication. 46 CFR § 525.2(a) and 46 CFR § 525.3(a)(2).

An MTO that elects to make its schedules available to the public will provide a location address in its FMC-1 Form that is submitted to the Commission. 46 CFR § 525.3(f).

Form FMC-1 is an interactive electronic form required under the Commission’s rules at to be filed by MTOs notifying the FMC, prior to commencement of marine terminal operations, of its organization name, organization number, home office address, name and telephone number of its representative, the location of its terminal schedule(s), and the publisher, if any, used to maintain its terminal schedule. 46 CFR 525.3(f)

Form FMC-1 is located on the Commission’s website, www.fmc.gov. The form is available electronically and filed http://www.fmc.gov,interactively by clicking on Tariff Registration Form (FMC-1), Click Here to Proceed on the Disclaimer screen, File an Initial FMC-1 Form button and completely filling-in information on the form. When you have finished click Save and Exit to transmit the Form FMC-1 filing to the FMC. If you need assistance completing the form, use the "Help" button in the upper right-hand corner of the form. In addition, if you opt to make your terminal schedule(s) available to the public, before clicking Save and Exit, you must click the "Add Publisher" button at the bottom of the screen, complete all required entries identifying the location and publisher of your electronically published schedule(s); when you are finished, click "Save and Return" (this takes you back to the Organization information screen), next scroll down to the bottom of the Organization information screen and click "Save and Exit" to transmit the FMC-1 Form filing to the FMC.

Yes. All MTOs subject to Commission jurisdiction must file an FMC-1 form, whether or not they intend to publish their terminal schedules.

The parent must file for itself, and an additional form for a subsidiary need only be filed if the subsidiary intends to publish its terminal schedules at a different electronic location than the parent. Either the parent or the subsidiary may file the additional FMC-1 form.

Yes. If an MTO wants to avail itself of the implied contract provision of the rule in relation to a limitation of liability, then it must publish such limitation of liability in the same manner it would publish a terminal schedule.

The Commission receives a number of complaints. Some frequent problems encountered are:

• Late shipments
• The moving company cannot be reached
• The moving company is demanding additional charges such as storage charges, incurred through no fault of  the consumer.
• The moving company claims the original estimate as to weight or measure was inaccurate, and demands additional charges.
• The shipment cannot be located, and no one seems to have any idea where it is.
• Goods are damaged and the consumer paid for insurance, but the moving company did not purchase any insurance on behalf of the consumer.

We strongly urge all individuals undertaking an international move to hire a moving company that is FMC licensed and bonded. It is possible to locate a list of such companies here. We urge individuals to be wary of using online search services as many rogue movers use these services to lure unsuspecting individuals. If you have questions regarding a company you may call FMC’s Office of Consumer Affairs & Dispute Resolution Services at 202-523-5807.

It is also important to receive several quotes from different companies who have performed an onsite inspection of your goods. Do not rely on a company’s telephone quotations as these are often inaccurate. For additional information please visit www.protectyourmove.gov. Although that site provides advice for interstate moves, rather than international, much of its advice is practical advice that could be applied to international moves as well.

Despite the high number of reputable moving companies, there are some that work to defraud the public. These dishonest companies generally promise good service for a low rate. However, these companies often charge 2-3 times the promised amount and hold the consumer’s goods hostage for more money. In some cases, these companies take shipments with no intent to deliver the goods so consumers are left to find their shipment and pay another moving company additional money to ship their goods.

There are several red flags associated with rogue movers. For example, any company that does not offer or agree to an onsite inspection of your goods and provides phone estimates can be a sign of trouble to come as these companies offer rates that are too good to be true. Another common sign is that the company refuses credit cards and demands a large cash deposit before the move. Many of these companies also lack a local address and do not have licensing information. For more information on how to spot a rogue mover, please visit www.protectyourmove.gov

Federal law (i.e., the Shipping Act of 1984) requires Ocean Transportation Intermediaries to be licensed and bonded. This provides protection for consumers. In the event that there is a transportation dispute with the company that cannot be resolved, the consumer may submit a claim against that company’s bond. In cases where consumers hire unlicensed/ unbonded entities it is much more difficult to seek recovery.

In many situations rogue movers will offer a lower rate and other moving related "perks" such as free insurance to entice consumers into using their services. However, in most cases, after the goods are picked up, such rogue movers may demand a rate that is 2-3 times greater than the initial quote and adds many hidden unexplained charges. The consumer is usually told that unless the extra money is paid the goods will be abandoned. The extra payments do not always guarantee receipt of the goods and the consumer must locate his goods and begin the process again with another mover.

Rogue movers often claim to be FMC licensed when they are not and provide false licensing numbers. The only way to guarantee that your mover is licensed is to confirm that fact with the FMC. The Commission lists licensed ocean transportation intermediaries at its web site, or you may contact the FMC’s Bureau of Certification and Licensing (202-523-5843) or the Office of Consumer Affairs & Dispute Resolution Services (202-523-5807).

No. Any company that holds itself out as an international moving company should be licensed by the FMC if it offers international ocean transportation of your goods. In many instances rogue movers have used legitimate companies as intermediaries and failed to pay those companies for services. This leaves the consumer in a position where he must make a double payment, that is, pay the legitimate company in order to receive his goods.

Federal law permits companies to act as sales agents for a licensed company. To protect yourself, however, the agent should provide you with a bill of lading or other information identifying which company is taking responsibility for shipment and delivery of your household goods. For your protection, you should ensure that any contract you sign is with the licensed entity and not the agent.

In many situations the best thing to do is to cancel the shipment, cut your losses, and hire a licensed company. While you may lose the deposit you save more time, money, and energy in the long run.

Please call the Office of Consumer Affairs & Dispute Resolution Services immediately at 202-523-5807, or email to complaints@fmc.gov. Someone will assist you in attempting to locate your goods and ensure delivery.

An exemption recently issued by the Federal Maritime Commission (FMC), allows non-vessel-operating common carriers (NVOCCs) to now enter into service arrangements with their shipper/customers called NSAs (non-vessel-operating common carrier service arrangements). 46 CFR Part 531.

Under the Commission's rules, an NSA means a written contract, other than a bill of lading or receipt, between one or more NSA shippers and an individual NVOCC or two or more affiliated NVOCCs, in which the NSA shipper makes a commitment to provide a certain minimum quantity or portion of its cargo or freight revenue over a fixed time period, and the NVOCC commits to a certain rate or rate schedule and a defined service level. 46 CFR 531.3(p).

An NSA shipper is a cargo owner, the person for whose account the ocean transportation is provided, the person to whom delivery is to be made, a shippers' association, or a non-vessel-operating common carrier. 46 CFR 531.3(o).

This FMC action was prompted by petitions that were filed between July 25, 2003 and March 12, 2004 by seven individual NVOCCs and by the National Customs Brokers and Forwarders Association of America, Inc. Although these petitions varied to some extent, they all sought to achieve the result made possible by the FMC's exemption by rulemaking, namely that NVOCCs can contract with their shipper/customers on a confidential basis in much the same manner as can be done by vessel-operating common carriers through service contracts.

In August, 2004, several of those petitioners, together with the Transportation Intermediaries Association and the National Industrial Transportation League, urged the FMC to act as quickly as possible to exempt filed NSAs from the tariff publication and adherence requirements of the Shipping Act. This proposal was supported by many individual NVOCCs and NVOCC organizations, as well as associations of vessel-operating common carriers. The FMC issued its Notice of Proposed Rulemaking in late October, 2004 (69 Fed. Reg. 63981) (November 3, 2004), and received numerous comments in response from several individual NVOCCs and associations of NVOCCs, shippers associations, and the U.S. Department of Justice. The Final Rule became effective on January 19, 2005. 69 Fed. Reg. 75850 (December 20, 2004).

No. NSAs have been established as a possible alternative for NVOCCs to negotiate confidential shipping arrangements with their shipper customers.

Specifically, the exemption allows individual NVOCCs (including corporately affiliated NVOCCs), who are compliant with the other requirements of the Shipping Act and the FMC's regulations at 46 CFR Part 515 and 46 CFR Part 520, to enter into an NSA with one or more NSA shippers. 46 CFR 531.2. The FMC's rule allows NVOCCs to enter into service arrangements with their customers in lieu of publishing those arrangements in a publicly-available tariff, as otherwise would be required by sections 8(a) and 10 of the Shipping Act.

The FMC limited NVOCC actions through NSAs to ensure shippers and ports are protected in a similar manner to section 10 of the Shipping Act: service rendered under an NSA must be according to rates and charges appearing in a properly filed NSA. 46 CFR 531.6(d)(1); and no NVOCC may employ an NSA to unfairly or unjustly discriminate (with respect to rates or charges), or grant any unreasonable preference or impose any unreasonable prejudice with respect to any port. 46 CFR 531.6(d)(2), (3).

The Commission rules can be found at 46 CFR Part 531.6.  See also the Notice of Proposed Rulemaking issued August 8, 2005.

To take advantage of the exemption provided for in 46 CFR Part 531, an NVOCC must be in compliance with the Commission's rules located at 46 CFR Part 515, Licensing, Financial Responsibility Requirements and General Duties for Ocean Transportation Intermediaries, and Part 520, Carrier Automated Tariffs, regarding requirements to publish a tariff and file electronic Form FMC-1. An NVOCC in compliance needs to complete Form FMC-78, NVOCC Service Arrangement Registration, with the Commission.

A printable copy of Form FMC-78 in PDF format can be obtained here. Fill the form out completely, and submit to the Office of Service Contracts ("OSCT") by facsimile at (202) 523-5856.

If an agent has been designated to file NSAs with the Commission on the NVOCCs behalf, a delegation of authority must accompany the form. A direct link to the pdf version of Form FMC-78 can be found here. It is not an "auto-fill" form, but must be printed, completed, and faxed as mentioned above to the OSCT, or mailed to OSCT, Bureau of Trade Analysis (BTA), Federal Maritime Commission, 800 North Capitol Street, NW, Washington, DC 20573.

This simple form, requesting name & address information, license number and individual to be registered and receive log-on and password user identification ("User ID") for access to the SERVCON electronic filing system, is usually processed in approximately five days. Registrants will be notified by certified mail of their User ID. There are no Commission fees associated either with registering to file or with filing NSA's.

Once an FMC-issued User ID is received, an NVOCC (or its designated publisher or agent) can go to the FMC's website, www.fmc.gov, use the User ID to access electronic SERVCON system, enter minimal information regarding the NSA filing (e.g., organization number, NSA number, amendment number, and effective date), and upload NSAs into the Commission's automated SERVCON system via the internet. Detailed instructions can be found at the FMC's website (https://www.servcon.fmc.gov) or by contacting OSCT.

The internet-based SERVCON filing system will accept original and amendment NSA documents in over 100 off-the-shelf computer software formats, e.g., WordPerfect, Microsoft Word, WordStar, Excel, PDF, ASCII, and many others.

The terms of NSAs by the parties are to be kept confidential to the fullest extent permitted by law, and required to be filed with the FMC. Every NSA filed with the Commission is required to include the complete terms of the NSA including, but not limited to, the following: (1) the origin and destination port ranges in the case of port-to-port movements and geographic areas in the case of through intermodal movements; (2) the commodity or commodities involved; (3) minimum volume or portion; (4) service commitments; (5) line haul rate; (6) liquidated damages for non-performance (if any); (7) duration, including the effective date and expiration date; (8) legal names and business addresses of the NSA parties; the legal names of all affiliates of the NSA shipper entitled to access the NSA; the names, titles and addresses of the representatives signing the NSA for the parties; (9) a description of the shipment records which will be maintained to support the NSA and the address, telephone number, and title of the person who will respond to a request by making shipment records available to the Commission; and various other provisions of the NSA. 46 CFR 531.6. Contemporaneously with the filing of each NSA with the Commission, all authorized persons who choose to file NSAs are also required to make available to the public, in tariff format in the NVOCCs automated tariff system, a concise statement of certain "essential terms" ("ETs").

All authorized persons who choose to file NSAs are also required to make available to the public, contemporaneously with the filing of each NSA with the FMC, in tariff format in the NVOCCs automated tariff system, a concise statement of certain essential terms as follows: (1) origin/destination port ranges; (2) commodity or commodities involved; (3) minimum volume or portion; and (4) the duration of the arrangement. 46 CFR 531.9(a).

Bureau of Trade Analysis, Office of Service Contracts and Tariffs 800 N. Capitol Street, NW Washington, DC 20573 Phone: (202) 523-5856 Fax: (202) 523-5867 Email: NSAInquiries@fmc.gov Information related to NSAs is also available on the FMC's website, www.fmc.gov.

No, the new regulations only require that the "complete terms" of an NSA be reflected in the text filed in SERVCON with the Commission and contain a list at 46 CFR 531.6 of the minimum terms that must be included in an NSA. NSA parties may include additional terms and conditions of the services to be performed by the NVOCC under the agreement and/or additional obligations undertaken by the shipper.

The parties may agree to make their NSAs refer to any widely available published material which is well known in the industry. An example of such cross-referencing would be to the currency exchange rates as published in the Wall Street Journal. Such cross-referencing may also include reference to an NVOCC's general rules tariff. Filers should particularly note that the terms of NSAs may not be "uncertain, vague or ambiguous." 46 CFR 531.9(b)(1). Reference may not be made to a tariff of a common carrier other than that of the NVOCC offering the NSA.

"Boiler plate" may either be published as a general rules tariff and cross-referenced in the NSA or kept confidential by filing the terms in the text of each NSA filed in SERVCON.

The regulations require ETs to be in "tariff format". 46 CFR 531.9. The Commission regulation allow ETs to be published in a separate part of an NVOCC's existing tariff publication. ETs may be organized in any manner the publisher or NVOCC sees fit: organized by trade, as a separate tariff type, etc..

An OTI may be either an ocean freight forwarder, a non-vessel-operating common carrier (NVOCC), or both an ocean freight forwarder and an NVOCC.

An ocean freight forwarder is an individual or company in the United States that dispatches shipments from the United States via common carriers (defined at 46 U.S.C. app. §1702(6)) and books or otherwise arranges space for those shipments on behalf of shippers (defined at 46 U.S.C. app §1702(21)).Ocean freight forwarders also prepare and process the documentation and perform related activities pertaining to those shipments.

Freight Forwarding OTI services refer to the dispatching of shipments on behalf of others to facilitate shipments by common carriers, including ordering cargo to port; preparing or processing export declarations, bills of lading and other export documentation; booking or confirming cargo space; arranging for warehouse space; arranging cargo insurance; clearing shipments in accordance with United States Government export regulations; preparing and/or sending advance notice of shipments to banks, shippers, and consignees; handling freight monies on behalf of shippers; coordinating the movement of shipments from origin to the vessel; and giving expert advice to exporters.

NVOCC OTI services refers to the provision of transportation by water of cargo between the United States and a foreign country (whether import or export) for compensation without operating the vessels by which the transportation is provided. NVOCC OTI services may include purchasing transportation services from vessel-operating common carriers for resale; payment of port-to-port or multi-modal transportation charges; entering into affreightment agreements with underlying shippers; issuing bills of lading or equivalent documents; arranging and paying for inland transportation on through transportation movements; paying lawful compensation to ocean freight forwarders; leasing containers; and entering into arrangements with origin or destination agents.

No, however, there may be requirements imposed by the Surface Transportation Board ("STB"). You may view the STB website at http://www.stb.dot.gov or call the general information phone number at (202) 565-1500 for further information.

If you no longer want to operate as an OTI, you must:

- Surrender your license to the Bureau of Certification and Licensing, Federal Maritime Commission, 800 North Capitol Street, N.W., Washington, D.C. 20573.

- Advise your financial responsibility provider, and if you are an NVOCC, your tariff publisher, that you no longer are operating as an OTI.

The Commission will issue you a letter of voluntary surrender and the surrender will be effective the date your license was received by the Commission. If you are an NVOCC OTI, your FMC-1 listing will be designated as inactive on the Commission website. A notice of the surrender will be published in the Federal Register. You may no longer offer OTI services once you have surrendered your license. If you are a joint NVOCC/freight forwarder OTI and wish to surrender a portion of your license, you must notify the Commission and your financial responsibility provider of your surrender. A letter of surrender will be issued to you with regard to the surrendered service and a notice published in the Federal Register. You must contact your financial responsibility provider to cancel the coverage of the surrendered service. If you are surrendering the NVOCC portion of your license, you must notify your tariff publisher to cancel your tariff and the Commission will designate your FMC-1 listing as inactive. You will be issued a new license indicating the service you will continue to offer and you must return the joint "NF" license that you held. A reissuance notice will be published in the Federal Register.

Regulations governing OTIs can be viewed on the Commission’s website at www.fmc.gov. Please click on the "Regulations" heading. Part 515, Licensing, Financial Responsibility Requirements, and General Duties for Ocean Transportation Intermediaries, contains the regulations relating to OTIs. In addition, Part 520, Carrier Automated Tariffs, Part 530, Service contracts, and Part 531, NVOCC Service Arrangements, apply to NVOCC OTIs.

The Federal Maritime Commission’s Bureau of Certification and Licensing has two offices that deal with OTI issues.

(1). The Office of Transportation Intermediaries reviews OTI applications and issues the licenses. This office may be contacted by telephone at (202) 523-5843, by facsimile at (202)566-0011 or e-mail at OTI@fmc.gov.

(2). The Office of Passenger Vessels and Information Processing handles the OTI surety bonds and other forms of financial responsibility. This office can be contacted by telephone at (202) 523-5818, by facsimile at (202) 523-5830 or e-mail at OTIbonds@fmc.gov. Normal business working hours are 8:30 a.m. to 5:00 p.m.

Street address: Bureau of Certification and Licensing Federal Maritime Commission 800 North Capitol Street, N.W. Washington, D.C. 20573.

Issues relating to tariffs, service contracts and NVOCC service arrangements are handled primarily by the Commission’s Bureau of Trade Analysis, Office of Service Contracts and Tariffs. This office may be contacted by telephone at (202) 523-5856, by facsimile at (202) 523-5867, or email at form1@fmc.gov.

Submit a completed Form FMC-18 to the Commission demonstrating that the applicant has the required experience and character to offer OTI services. The applicant must include the appropriate fee and documentation supporting the application and provide evidence of financial responsibility for licensing. Commission staff will review the application, contact references and conduct an investigation of the applicant. If staff determines the applicant has the requisite experience and character, an OTI license will be issued.

Applicants must file Form FMC-18 in duplicate. This form may be downloaded and printed from the Commission’s website at www.fmc.gov (click on "Forms" under "Bureau of Certification and Licensing") or obtained from the Office of Ocean Transportation Intermediaries. The application must be accompanied by a money order, a certified check, cashier’s check, or a personal check made payable to the Federal Maritime Commission. The fee for an initial application is $825, and for an amended application, $525. Failure to include the proper fee with your application will cause it to be returned without processing. The completed application may be mailed or sent by courier to:

Federal Maritime Commission
Bureau of Certification and Licensing
800 North Capitol Street, NW
Washington, D.C. 20573

If you require evidence of delivery, please enclose a stamped, self-addressed envelope and an extra copy of the cover letter or the first page of the application. Commission staff will date stamp the extra copy of the cover letter or the first page of the application and return it to you.

Yes, but the Form FMC-18 must be signed by the applicant.

Documentation that must be submitted with Form FMC-18 includes: Proof of the applicant’s name and existence: If sole proprietor: business license and driver’s license If corporation: articles of incorporation and certificate of good standing (or its equivalent) If partnership: partnership agreement If a trade name is used: fictitious name statement (or equivalent) issued by the state Proof of the qualifying individual’s position: If a corporation:corporate minutes or resolution showing the appointment of the qualifying individual as an officer of the applicant corporation If a partnership: partnership agreement

A qualifying individual is the person who possesses the OTI experience and necessary character to qualify the OTI applicant for licensing. The qualifying individual must be:

(1) for a sole proprietorship, the applicant sole proprietor.

(2) for a partnership, at least one of the active managing partners, but all partners must execute the application.

(3) for a corporation, at least one of the active corporate officers. Corporate officers include president, vice president, secretary or treasurer. Positions which are largely descriptive of job function, i.e., director of operations or vice president of export, typically are not recognized by state authorities as officers of a corporation.

Every OTI must furnish proof of acceptable financial responsibility in the form of a surety bond, insurance, or guaranty to cover its transportation-related activities while the OTI is acting as an ocean freight forwarder or an NVOCC.

An ocean freight forwarder must furnish proof of financial responsibility in the amount of $50,000 plus $10,000 for each unincorporated branch office in the United States.

 An NVOCC operating in the United States must furnish proof of financial responsibility in the amount of $75,000 plus $10,000 for each unincorporated branch office in the United States.

An unlicensed, foreign-domiciled OTI must furnish proof of financial responsibility in the amount of $150,000.

A licensed foreign-domiciled OTI must furnish proof of financial responsibility in the amount of $75,000 plus $10,000 for each additional unincorporated branch office in the United States (not counting the unincorporated presence it has established in the United States to qualify for licensing).

Typically, applicants provide proof of financial responsibility in the form of a surety bond filed on Form FMC-48. This Form may be downloaded from the Commission’s website or obtained from the Office of Ocean Transportation Intermediaries or the Office of Passenger Vessels and Information Processing. The proof of financial responsibility must be signed by both a representative of the OTI and the financial responsibility provider.

The Department of Treasury maintains a list of approved surety bonding companies (Circular 570). It can be viewed at their website: http://www.fms.treas.gov/c570/index.html. You also may contact the Department of Treasury in writing at the following address:

U.S. Department of Treasury Financial Management Service
(FMS) Surety Bond Branch
3700 East-West Highway Room 6FO7
Hyattsville, MD 20782.

You may also call FMS at (202) 874-6850 or send a facsimile to (202) 874-9978.

If the effective date of the new coverage is no later than the effective date of the cancellation of the prior coverage (and license revocation effective date), you must notify the Office of Passenger Vessels and Information Processing by phone at (202) 523-5818, facsimile at (202) 523-5830 or e-mail at OTIbonds@fmc.gov and submit the replacement coverage. In most cases you will be reissued a license effective the date of the prior coverage cancellation and license revocation. If you are an NVOCC OTI, you will need to have your tariff publisher file a replacement FMC-1 form and publish a replacement tariff. If there is a break in OTI bond coverage, you will need to reapply for licensing by submitting Form FMC-18, a fee of $825 and the replacement coverage.

If you seek to pursue a claim against an OTI financial responsibility provider arising from the OTI’s transportation-related activities, you may attempt to resolve the claim with the financial responsibility provider prior to seeking payment on any judgment for damages obtained. If you seek payment without a judgment, you must simultaneously notify both the financial responsibility provider and the OTI of the claim by certified mail, return receipt requested. The bond, insurance or other surety may be available to pay your claim if:

(1) the OTI consents to payment, subject to review by the financial responsibility provider; or

(2) the OTI fails to respond within forty-five days from the date of the notice of claim, and the financial responsibility provider deems the claim valid.

If the parties fail to reach an agreement within ninety days of the date of the initial notification of the claim, the bond, insurance or other surety shall be available to pay any final judgment for damages obtained from an appropriate court. The financial responsibility provider shall pay such judgment for damages only to the extent they arise from transportation-related activities of the OTI, ordinarily within 30 days, without requiring further evidence related to the validity of the claim. It may, however, inquire into the extent to which the judgment for damages arise from the OTI’s transportation-related activities. The financial responsibility provider may be found in the rules section of the NVOCC’s tariff. In addition, the name and address of the financial responsibility provider of an OTI may be obtained from the

Office of Passenger Vessels and Information Processing 
Federal Maritime Commission  
Washington, D.C. 20573.

This office may be contacted by phone at (202) 523-5818, by facsimile at (202) 523-5830 or e-mail at OTIbonds@fmc.gov.

The Optional Rider (located on the FMC Forms Page) is a rider that NVOCCs serving the U.S.-China Trade may attach to their NVOCC bond to meet the NVOCC licensing requirements of the People’s Republic of China ("PRC"). The rider is a convenience offered by the Commission to U.S. NVOCCs as a result of a bilateral maritime agreement between the United States and the PRC. The agreement’s Memorandum of Consultations provides that the PRC will not require U.S. NVOCCs to make a cash deposit in a Chinese bank, as long as the NVOCC:

(1) is a legal person registered by U.S. authorities;

(2) obtains an OTI License from the Commission; and

(3) provides evidence of financial responsibility in the total amount of $96,000. The rider adds an additional $21,000 to the $75,000 bond already maintained by the NVOCC as a condition of licensing.

You may view and copy the Optional Rider forms under the Bureau of Certification and Licensing/Forms heading on the Commission’s website at www.fmc.gov. The Optional Rider for the individual OTI bond form, Form FMC-48, is numbered Form FMC-48A and the Optional rider for the OTI group bond, Form FMC-69, is numbered Form FMC- 69-A.

Tariff regulations may be found at 46 CFR Part 520. These are accessible at the Commission website at www.fmc.gov. (Click on "Regulations")

A list of tariff publishers can be obtained from the Commission. You may contact the Bureau of Trade Analysis, Office of Service Contracts and Tariffs by telephone at (202) 523-5856.

NVOCC service arrangement regulations may be found at 46 CFR Part 531. These are accessible at the Commission website under Statutes and Rules.

You may contact the Commission’s Bureau of Trade Analysis, Office of Service Contracts and Tariffs by telephone at (202) 523-5856 or e-mail at  form1@fmc.gov.

You must notify the Office of Passenger Vessels and Information Processing by phone at (202) 523-5818, facsimile at (202) 523-5830 or e-mail at OTIbonds@fmc.gov that you no longer are operating in the United States trades. You must also notify your tariff publisher and your financial responsibility provider. The Commission will designate your FMC-1 listing as inactive. After this is done, you are prohibited from providing OTI NVOCC services in the foreign commerce of the United States.

U.S. Foreign Waterborne Transportation Statistics program

U.S. Army Corps of Engineers, Navigation Data Center

U.S. Army Corps of Engineers, Navigation Data Center

U.S. Department of Agriculture

U.S. Department of Transportation, Maritime Administration

U.S. Department of Transportation, Maritime Administration

U.S. Department of Transportation, Maritime Administration

U.S. Department of Transportation, Maritime Administration

U.S. Department of Transportation, Bureau of Transportation Statistics

U.S. Coast Guard, National Pollution Funds Center (202) 493-6780

U.S. Department of Transportation, Maritime Administration

National Response Center 1-800-424-8802
U.S. Environmental Protection Agency (202) 272-0167
U.S. Coast Guard, National Pollution Funds Center (202) 493-6780

U.S. Department of Transportation, Bureau of Transportation Statistics

U.S. States Coast Guard, Drug Seizure Statistics

U.S. Coast Guard, Migrant Interdiction Statistics

U.S. International Trade Commission
U.S. Department of Commerce, International Trade Administration (ITA)
U.S. Department of Homeland Security, U.S. Customs & Border Protection

U.S. Department of Commerce, U.S. Census Bureau

Surface Transportation Board, Department of Transportation

United States Coast Guard, Department of Homeland Security
Maritime Administration, Department of Transportation

United States Coast Guard

Maritime Administration

The Office of Passenger Vessels and Information Processing at The Federal Maritime Commission ("Commission") issues Certificates (Performance) and Certificates (Casualty) to cruise lines which have provided proof of financial responsibility in an amount sufficient to reimburse passengers for claims against the cruise line for failure to perform cruises, and claims to cover death or injury to passengers and other persons.

Proof of financial responsibility is the coverage provided by the cruise line to demonstrate that it can reimburse passengers for the water portion of fares paid by passengers should the cruise line fail to perform, or provide coverage for death or injury of passengers or other persons in the amounts required by law. In most instances, coverage is shown through the filing of a surety bond, guaranty or similar financial instrument. Separate coverage is filed for non-performance and casualty.

Public Law 89-777, Financial Responsibility for Death and Injury to Passengers and Nonperformance of Voyages (46 App. USC 817d and e), and 46 CFR Part 540, Passenger Vessel Financial Responsibility

A vessel is subject to the PVO program when: 

(1)  the vessel has berth or stateroom accommodations for 50 or more passengers, and
(2) the vessel embarks passengers at U.S. ports.

To be considered a passenger, the individual must have embarked at a U.S. port and purchased a ticket entitling him to water transportation aboard that vessel.

No. The program only covers those vessels that are subject to the PVO program, i.e., those that have berth or stateroom accommodations for 50 or more passengers and embark passengers at U.S. ports.

No. The program covers only those passengers who embark at a U.S. port, regardless of citizenship.

A U.S. port is any port in the United States, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, and any other territory or possession of the United States.

You may contact the Office of Passenger Vessels and Information Processing with questions regarding the application process, coverage and how to make a claim:

Office of Passenger Vessels and Information Processing
Federal Maritime Commission
800 North Capitol Street, N.W.
Washington, D.C. 20573

Phone: (202) 523-5818
Fax: (202) 523-5830
E-mail: pvo@fmc.gov

You may contact the Office of Consumer Affairs and Dispute Resolution Services at:
 
Office of Consumer Affairs and Dispute Resolution Services
Federal Maritime Commission
800 North Capitol Street, N.W.
Washington, D.C. 20573

Phone: (202) 523-5807
Fax: (202) 275-0059
E-mail: complaints@fmc.gov

You may also wish to consult the Office of Consumer Affairs and Dispute Resolution Services web page. The office posts cruise line consumer information at that site.

A Certificate (Performance) is a certificate issued by the Commission to a vessel which indicates that the cruise line has filed acceptable proof of financial responsibility, i.e., coverage, which is available to pay passenger claims should the cruise line fail to perform contracted cruises.

A Certificate (Performance) is required prior to any person in the United States arranging, offering, advertising or providing passage on a vessel subject to the PVO program.

The Certificate is generally issued in the name of the vessel operator and/or ticket issuer and specifies the name of the vessel covered. A separate Certificate is issued for each vessel in the cruise line fleet subject to the PVO program.

In general, non-performance is the failure to commence or complete cruises upon which payment has been made. To date, the instances of non-performance which resulted in a payout from the coverage filed as proof of financial responsibility have been caused by the bankruptcy of a cruise line.

Cruise lines are required to provide coverage in the amount calculated by the Commission. The amount, in most cases, is 110% of the highest unearned passenger revenue collected by the cruise line in the prior two fiscal years. Non-performance coverage is capped at $15 million.

Unearned passenger revenue consists of the deposits and/or advance payments for voyages that have not yet been performed. The unearned passenger revenue will fluctuate from week to week as the cruise line’s season proceeds and bookings are made and cruises are completed.

In most instance, the coverage is provided by guaranty issued by an acceptable Protection and Indemnity Association or a surety bond issued by an acceptable surety, e.g., on the Department of Treasury list of acceptable sureties. In lieu of these financial instruments, the cruise line may establish an escrow account administered by a neutral financial institution in which these unearned passenger revenues are deposited, to be withdrawn by the cruise line as voyages are completed and the revenue earned.

Claims may be filed against the coverage provider. The cruise line, coverage provider and/or the Commission generally provide guidance on how to make such claims. The coverage only covers the water portion of the fare. If the fare includes hotel or air fare charges, reimbursement from the coverage provider will not include those charges. If the passenger fares were paid by credit card, in most cases the credit card processor can credit the passenger’s account for the total amount of the charge. Therefore, charge backs may cover air fare, hotel and other non-water transportation not included under non-performance coverage. In these instances, the passenger may be able to obtain a full refund for all amounts charged to the credit card. Passengers who have purchased third party insurance should contact the underwriter to determine if their claim will be honored and what documentation will be required to file a claim.

Passengers may make a claim for any monies paid for water transportation and all other accommodations, services, and facilities not yet performed when those services cannot be separated from the water transportation costs. A Certificate (Performance) does not cover air transportation to the port even if arranged through the cruise line. It also does not cover any sums paid for hotels, shore excursions or tours unless they were required with the water passage.

No. The coverage remains outside the reach of the bankruptcy court and is only available for the reimbursement of fares and deposits paid by passengers. Credit card companies and other such parties may not seek reimbursement from the coverage. Travel agents may not seek to obtain commissions from the coverage

A Certificate (Casualty) is a certificate issued by the Commission to a vessel which indicates that the cruise line has filed acceptable proof of financial responsibility which is available to pay passenger claims for death or injury or such claims filed on behalf of other persons such as crew or staff aboard the vessel.

The amount of coverage is based on the number of berths on the cruise line’s largest vessel and the formula contained in the statute. The formula is as follows:

(a) $20,000 for each passenger accommodation up to and including 500, plus
(b) $15,000 for each passenger accommodation between 501 and 1,000, plus
(c) $10,000 for each passenger accommodation between 1,001 and 1,500, plus
(d) $5,000 for each passenger accommodation in excess of 1,500.

For example, if we apply the formula to a vessel of 1,200 berths, coverage is calculated as follows:

First 500 berths @ $20,000 = $10,000,000
Next 500 berths @ $15,000 = 7,500,000
Next 200 berths @ $10,000 = 2,000,000
Total required coverage = $19,500,000

Other persons include, but are not limited to, visitors, crew, and temporary workers aboard ship.

In most instances, the coverage is provided by guaranty issued by an acceptable Protection and Indemnity Association or insurance provided by an acceptable insurance company.

The passenger or his representative may contact the coverage provider. The contact information may be obtained by contacting the Office of Passenger Vessels and Information Processing by phone at (202) 523-5818 or e-mail at pvo@fmc.gov.

No. The same form (Form FMC-131) is used to apply for either Certificate. The applicant needs to indicate on the form which type of certificate is requested.

Form FMC-131 may be printed from the Commission’s website at the Forms link at www.fmc.gov. You may also call the Office of Passenger Vessels and Information Processing at (202) 523-5818 and request a copy of the form be mailed or faxed to you.

The cruise line completes and submits Form FMC-131 and indicates the application is for a Certificate (Perfomance). It is advisable that the applicant contact the Office of Passenger Vessels and Information Processing prior to submitting Form FMC-131 to discuss what is needed to complete the application and determine the amount of coverage that will be required.

The application should be submitted to:
Office of Passenger Vessels and Information Processing
Federal Maritime Commission
800 North Capitol Street, N.W.
Washington, DC 20573

You may contact the Office of Passengers Vessels and Information Processing at the following:

Phone: (202) 523-5818
Fax: (202) 523-5830
E-mail: pvo@fmc.gov

The fee for a Certificate (Performance) excluding one filed for the addition or substitution of a vessel, is $2,767.00. The fee for a Certificate (Performance) for a vessel addition or substitution to the cruise line’s fleet is $1,382.00. Payment is made by check and the check is to be made payable to the Federal Maritime Commission. The check must accompany the Form FMC-131 application form.

The Form FMC-131 should be filed at least 60 days in advance of the arranging, offering, advertising, or providing of any water transportation or tickets. In addition, an amended application or written description is required to be filed within 5 days should a change in service result in a decrease or increase in the amount of coverage filed as proof of financial responsibility.

The coverage is typically set at 110% of the cruise line’s unearned passenger revenue experienced in the two fiscal years prior to application. If this information is not available, e.g., the cruise line is initiating a new service, then an estimate is made based upon the fare structure, itinerary, pre-payment policy and other factors to determine a coverage amount. Commission staff will monitor the unearned passenger revenue reports filed with the Commission to ensure that the coverage amount is appropriate and request adjustment as necessary. Commission rules cap the coverage amount for non-performance at $15 million.

Cruise lines file a surety bond, guaranty or an escrow account as coverage. The surety must be on the Department of the Treasury's Listing of Approved Sureties (Department Circular 570) available at http://fms.treas.gov/c570. The guarantor must be acceptable to the Commission, i.e., a protection and indemnity association with sufficient assets in the U.S. Please contact the Office of Passenger Vessels and Information Processing to determine acceptability. The surety and guaranty forms are available by clicking on the Forms link at the Bureau of Certification and Licensing home page. The escrow agreement must be approved by the Commission. Please contact the Office of Passenger Vessels and Information Processing to discuss escrow agreement and escrow agent requirements.

The cruise line completes and submits Form FMC-131 and indicates the application is for a Certificate (Casualty). It is advisable that the applicant contact the Office of Passenger Vessels and Information Processing prior to submitting the Form FMC-131 to be sure the coverage provider is acceptable. The application should be submitted to:

Office of Passenger Vessels and Information Processing
Federal Maritime Commission
800 North Capitol Street, N.W.
Washington, D.C. 20573

You may contact the Office of Passenger Vessels and Information Processing at the following: Phone: (202) 523-5818 Fax: (202) 523-5830 E-mail: pvo@fmc.gov. 

The fee for a Certificate (Casualty) excluding one filed for the addition or substitution of a vessel is $1,206.00. The fee for a Certificate (Casualty) for the addition or substitution of a vessel is $605.00 Payment is made by check and the check is to be made payable to the Federal Maritime Commission. The check must accompany the Form FMC-131 application form.

An application for Certificate (Casualty) should be filed with the Office of Passenger Vessels and Information Processing at least 60 days in advance of the first sailing. In addition, an amended application or written description is required to be filed within 5 days should a change in service occur which results in a decrease or increase in the amount of coverage required.

No. You may apply at different times. In most cases, the cruise line will apply for the Certificate (Performance) on a new vessel, much earlier than the Certificate (Casualty), since the Certificate (Performance) is required before advertising may begin but the Certificate (Casualty) is required before embarkation.

Cruise lines file acceptable guaranties or insurance. The guarantor must be acceptable to the Commission, i.e., a protection and indemnity association with sufficient assets in the U.S. The insurance company must have an acceptable financial rating. The guaranty form is available by clicking on the Forms link at the Bureau of Certification and Licensing home page. Please contact the Office of Passenger Vessels and Information Processing to ensure the coverage to be provided is acceptable.

The Certificate(s) will be needed when the vessel clears Customs from any U.S. port of embarkation. It should be physically available onboard the vessel for that purpose.

For all cruise lines holding a Certificate (Performance):
a. A semiannual report which indicates the highest unearned passenger revenue for each month in the six month period and due 30 days after the close of every such six -month period.
b. A semiannual statement of any changes that have occurred during the six month period; a negative statement is necessary should there be no change. Reports are due 30 days after the close of every such six-month period.

For those cruise lines evidencing financial responsibility by means of escrow account:
a. Weekly recomputation schedule indicating the balance, receipts, refunds and withdrawal of earned funds from escrow. These are to be provided to the escrow agent and the Commision.
b. A monthly report prepared by the escrow agent which lists investment assets of the account. The reports are due 15 days after the end of the each month and must be provided to the cruise line and directly to the Commission
c. Quarterly reports prepared by the cruise line’s independent auditors and to be provided directly to the Commission and the escrow agent
d. Any other reports the Commission deems necessary to monitor the escrow account.

U.S. Customs is required to refuse clearance to any vessel that is required to have a Certificate (Performance) and a Certificate (Casualty) but has failed to secure such certificates from the Commission. In addition, the Commission may impose civil penalties of $220 per passage sold against any cruise line it finds to be in violation of the PVO Certification Program.

No. The Federal Maritime Commission has no records or information regarding requirements or opportunities with the United States Merchant Marine. The websites of the United States Coast Guard, Department of Homeland Security, and the Maritime Administration, Department of Transportation, provide a variety of information about the Merchant Marine.

No. If you served in the United States Merchant Marine (including the Army Transport Service and the Naval Transport Service) during World War II and would like to know if you qualify for Veterans’ benefits, information on the United States Coast Guard website may be helpful.

No. Information concerning Cabotage laws, including the Jones Act, is available from the Maritime Administration.

Yes. Requests for certification of documents should be made in writing and should be addressed to:

Commission’s Secretary
Office of the Secretary
800 N. Capitol Street, NW
Washington, DC 20573

Phone: (202) 523-5725; Fax: (202) 523-0014; Email: Secretary@fmc.gov.

Your written request should thoroughly identify the specific documents you need certified, and indicate specific dates or information you need included in the certification language. The charges associated with certifications and duplication of documents are located at 46 CFR Part 503 of the Commission’s rules.

Freedom of Information Act Requests must be directed in writing to:

Secretary
Federal Maritime Commission
Washington, D.C. 20573

and must reasonably describe the record or records sought. E-mail requests may be directed to the Secretary at secretary@fmc.gov. More information about how to make FOIA requests and the associated charges may be found at 46 CFR Part 503 of the Commission’s rules or on the Commission's FOIA site.

Yes. The Docket Activity Library is the Commission’s repository for legal pleadings filed in various types of proceedings such as, formal and informal dockets ( private complaints or Commission instituted investigations) and rulemakings. Docket files can be viewed at:

800 North Capitol Street, N.W.
Room 1049, Washington, DC.

Docket logs (a chronological listing of all filings/issuances in each docket) also are available through the Commission’s website. For assistance in locating or requesting copies of documents in the Docket Library please contact our Docket Activity Library at (202) 523-5760 or send email to secretary@fmc.gov.

Yes. The Commission’s Law & Reference is available to the public. Its holdings consist of specialized material primarily covering the various segments of the international shipping industry, as well as historical and current regulatory materials covering all phases of shipping in the U.S. foreign trades. Members of the public are welcome to visit the Library and use the materials; however, all collection materials must be used in the Library during Library hours. The Librarian can be reached at (202) 523-5762, or by email at LibraryInquires@fmc.gov.

A service contract is a contract, other than a bill of lading, between a shipper and an ocean common carrier or an ocean common carrier agreement in which the shipper commits to provide a certain minimum quantity of cargo over a fixed period of time and the ocean common carrier or the ocean common carrier agreement commits to a certain rate or rate schedule and a defined level of service. 46 C.F.R. § 530.3(q).

Generally, yes, although there are exceptions for service contracts for certain commodities:  bulk cargo, forest products, recycled metal scrap, new assembled motor vehicles and waste paper or paper waste. 46 C.F.R. § 530.13.

Carrier parties, i.e. ocean common carriers, agreements among ocean common carriers or conferences, are responsible for filing service contracts with the Commission.  46 C.F.R. § 530.5

All service contracts must be filed electronically in SERVCON, the Commission’s internet-based filing system.  See 46 C.F.R. Part 530.

SERVCON is the Federal Maritime Commission’s internet-based filing system for ocean common carrier service contracts and non-vessel-operating common carrier service arrangements ("NSAs").  It is located on the Commission’s website, www.fmc.gov, under SERVCON.  For more information on NSAs, see NSA FAQs on this website.

SERVCON accepts service contracts and amendments written in more than 90 off-the-shelf software formats, including e.g., WordPerfect, Microsoft Word, WordStar and ASCII.

There is no user fee required at this time for SERVCON filings.

Anyone wishing to file service contracts on their own behalf or as an agent for an ocean common carrier must register to access the SERVCON system by filing Form FMC-83.

Form FMC-83 is a service contract registration form.   Form FMC-83 must be filed in order for a filer to obtain user identification, logon and password, to access the SERVCON system to file service contracts.

Carriers or conferences that enter into service contracts subject to the Commission’s rules governing service contracts must file a FMC-83 Form.  46 C.F.R. § 530.5(c).

Go to the Commission’s website, www.fmc.gov, click on Forms and Applications, scroll down to For Service Contracts, click on Service Contract Registration (FMC-83), print a copy of the form, fill out the form completely with the information requested, and fax a copy of the completed form to the Office of Service Contracts and Tariffs at (202) 523-5867.  If there are no problems with the FMC-83, a request is forwarded to the Commission’s Office of Information Technology (OIT) to assign a logon and password ID.  OIT will send the ID by certified mail to the person named on Line 7 of the form authorized to access SERVCON and file service contracts.

Yes.  Except for the public essential terms, discussed below in these FAQs, the Commission keeps all service contracts and amendments to service contracts confidential.  Shipping Act of 1984, as amended.  The parties may elect to disclose the terms of their service contracts, if they so agree. 

Yes. All authorized persons who have a duty to file service contracts under 46 C.F.R. § 530.5 (i.e. carrier parties) must also make available to the public, contemporaneously with the filing of each service contract with the Commission, and in tariff format, a concise statement of the following essential terms ("public ETs"): (1) origin and destination port ranges; (2) the commodity or commodities; (3) cargo minimum quantity or portion; and (4) the duration.  46 C.F.R. § 530.12. 

An Essential Terms Publication (ETP) is a quasi-tariff formatted publication that contains the public ETs only of a carrier or conference in a single publication made available to the public at the location of the carrier’s or conference’s tariff(s).

Federal law requires that public ETs be made public in "tariff format." Shipping Act of 1984, as amended.  The Commission’s rules require that public ETs be published in a separate part of the carrier party’s tariff publication. 46 C.F.R. § 530.12(c).  Carrier parties may publish public ETs in a separate service contract essential terms publication tariff.  Public ETs may be organized in any manner, e.g., by trade, as a separate tariff type, etc. All public ETs must include a reference to a carrier-assigned service contract ("SC") number.

The public ETs are available at the common carrier’s or conference’s tariff location.  A list of tariff locations associated with a particular common carrier or conference is available on the FMC’s website Links to Tariffs.

Public ETs must be made available to the public contemporaneously with the filing of each service contract with the Commission.  46 C.F.R. § 530.12(a).

Where a service contract is entered into by an agreement among ocean common carriers that is not a conference, each individual carrier party to such a service contract must publish the ETs in its individual tariff publication and clearly indicate the relevant FMC-assigned agreement number.  46 C.F.R. § 530.12(c)(2).

Service contracts may refer to any widely available published material which is well known in the industry. 46 C.F.R. Part 530. An example of such cross-referencing would be to the currency exchange rates as published in the Wall Street Journal. Such cross-referencing may also include reference to the carrier party’s general rules tariff. Filers should particularly note that the terms of service contracts may not be "uncertain, vague or ambiguous." 46 C.F.R. § 530.8(c)(1).

Standard, repetitive or common contract terms ("boiler plate") may either be published as a general rules tariff and cross-referenced to the carrier’s tariff or kept confidential by incorporating the terms into the filed service contract.

Unlike U.S. federal law, the European Union views inland movements as separate and distinct from the ocean movement and does not allow common pricing by carriers offering such through movements.  U.S. law, on the other hand, views the entire movement as ocean shipping.  As such, contracts for through movements are service contracts and should be filed in their entirety.  Accordingly, if an ocean common carrier provides continuous transportation involving more than one mode of service (e.g., ship, rail, motor, air) for pickup or delivery at a point beyond the port at which the vessel calls, the service contracts covering the entire intermodal movement must be filed.  If the rate for an intermodal movement between the United States and Europe is computed by adding an ocean contract rate and an inland contract rate, both contracts must be filed with the Commission.

No.  Ocean common carriers may either offer service pursuant to a tariff or a service contract.  However agreements among ocean common carries must not prohibit or restrict its individual members from offering or negotiating service contracts. Shipping Act of 1984, as amended.

An individual ocean common carrier, conference or an agreement between or among ocean common carriers may enter into a service contract. 46 C.F.R. § 530.2.  NVOCCs may offer NVOCC service arrangements ("NSAs").  See FAQs on NSAs.

A shipper means cargo owner, person for whose account the ocean transportation is provided, the person to whom delivery is to be made, a shippers' association, or NVOCCs that accept responsibility for payment of all applicable charges under the service contract. 46 C.F.R. § 530.3(r).

Generally, no.  See discussion at FMC Order Denying Petition No. P5-98.

In general, one party may sign a service contract "as agent for" or "on behalf of" a second party so long as both parties are clearly identified.  However, it should be clear that it is the second party which is the contract party and it is that party’s cargo, not the agent’s cargo,  that is entitled to service contract rates. 

Generally, yes.  To sign service contracts as shipper, an NVOCC must be in compliance with Commission tariff, licensing and financial responsibility regulations, as shown on the shipper status certification.  46 C.F.R. § 530.8(b)(10).

Yes.  The shipper party must certify its shipper status (e.g., owner of the cargo, shippers’ association, NVOCC)  as well as the status of any affiliates with access to service under the service contract, and sign on the signature page of a service contract or amendment.  46 C.F.R. § 530.8(b)(10).

An NVOCC must provide proof that it has a published tariff and financial responsibility when signing a service contract.  46 C.F.R. § 530.6(c); 46 C.F.R. § 515.27.  It is the responsibility of the ocean common carrier, conference, or ocean common carrier agreement to obtain the proof.  Such information can be obtained from the Commission’s website at its NVOCC List and its NVOCC Tariff List.

Although "affiliate" is not defined by the Commission’s rules governing service contracts, the Commission is guided by this commonly-accepted definition, such as that included in its licensing and NSA regulations:  associated with, under common control with, or otherwise related through stock ownership or common directors or officers. 46 C.F.R. § 515.11(c); 46 C.F.R. 531.3(b).  

A correction is any change to a service contract which has retroactive effect.  46 C.F.R. § 530.10(a)(2).

For clerical or administrative errors in a filed service contract, either of the service contract parties may file an original and duplicate request for a correction with the Commission’s Office of the Secretary within (45) forty-five days of the contract’s filing with the Commission, accompanied by remittance of a $315 service fee.  46 C.F.R. § 530.10(c).

Commission rules permit VOCCs to correct an original filing that is defective due to an electronic transmission clerical error. The time to correct such SERVCON filing errors is limited to two business days after the initial, defective, electronic transmission. 46 C.F.R. § 530.10(d).

A service contract must be filed with the Commission on or before cargo may move under it. The specific beginning and ending dates must be specified in the service contract.  The effective date starts at 12:01 a.m. eastern standard time on the beginning of the effective date, which cannot take place until the service contract is filed.  This rule also applies to effective dates of amendments to service contracts.  46 C.F.R. § 530.3(i).

A tariff is a publication containing the actual rates, charges, classifications, rules, regulations and practices of a common carrier or a conference of common carriers.

Each vessel operating common carrier, non-vessel-operating common carrier, and conference, except with regard to bulk cargo, forest products, recycled metal scrap, new assembled motor vehicles, waste paper, and paper waste. 46 C.F.R. § 520.3(a).

Yes. The Shipping Act of 1984, as amended requires a conference to keep open for public inspection, in an automated tariff system, a tariff showing all its rates, charges, classifications, rules and practices for the transportation routes served by the conference. This statutory requirement is carried forward in 46 C.F.R. § 520.3(a) of the tariff rules. In addition, 46 C.F.R. § 520.3(b) requires conferences to publish in their automated tariff systems rates offered pursuant to independent action by their members.

No. The Shipping Act of 1984, as amended only recognizes tariffs of individual common carriers or conferences. Moreover, the definition of "tariff" in 46 C.F.R. § 520.2 states that it is "a publication containing the actual rates, charges, classifications, rules, regulations and practices of a common carrier or a conference of common carriers." The definition further notes that "practices" in tariffs, "in the case of conferences, must be restricted to activities authorized by the basic conference agreement."

Yes. The Shipping Act of 1984, as amended requires a conference to keep open for public inspection, in an automated tariff system, a tariff showing all its rates, charges, classifications, rules and practices for the transportation routes served by the conference. This statutory requirement is carried forward in 46 C.F.R. § 520.3(a) of the tariff rules. In addition, 46 C.F.R. § 520.3(b) requires conferences to publish in their automated tariff systems rates offered pursuant to independent action by their members.

Rates, charges, classifications, rules, and practices between all points or ports on a carrier’s or conference’s own route and on any through transportation route that has been established must be included in the published tariff.  Content requirements for tariff provisions include: places between which cargo will be carried; level of ocean transportation intermediary compensation; each terminal or other charge; sample copies of bills of lading; any tariff rules; organization record; commodity descriptions; commodity index; and tariff rate items. 46 C.F.R. § 520.4.

Tariff publication exemptions extend to equipment interchange agreements between common carriers subject to 46 C.F.R. Part 520 and inland carriers where such agreements are not referred to in carriers’ tariffs and do not affect the tariff rates, charges or practices of the carriers as well as terminal barge operators in Pacific Slope states transporting containers and containerized cargo by barge between points in the U.S. in certain instances.  46 C.F.R. § 520.13(b)(1), (2), and (3). Also tanker services and non-regularly scheduled liner services, such as with tramp vessel operations are exempt from tariff publication requirements.

Yes.

The requirement took effect on May 1, 1999, but it could be published earlier.

Yes. Any assessorial charge that will be added to the basic ocean freight rate must be listed individually. If there are other rules or charges that may otherwise affect the shipment under certain circumstances (e.g., minimum quantity rules, quantity discounts, or demurrage) the tariff should also indicate them.

The requirement that tariffs provide the capability for a retriever to enter an access date to obtain data in effect on that date was primarily intended to apply to historical tariff data. Nonetheless, if carriers know what rates are going to be in effect on some future date, they are free to provide accurate information about such rates in their tariff publication. In these circumstances, access data capabilities should apply to "objects" that will become effective on a future date.

As stated in 46 C.F.R. § 520.5(a), the Standard Terminology Appendix serves as a standard baseline for tariff publishers. However, the rule makes clear that publishers can use additional codes, if they clearly define them in their tariffs.

Form FMC-1 is an internet-based electronic form to collect tariff location addresses and other specific organizational information of conferences, ocean common carriers, OTIs and MTOs. The information is entered directly into the FMC-1 Form on-line via the internet. 

The Commission’s Rules governing Form FMC-1 are located under 46 C.F.R. § 520.3(d) and (e) for common carriers/conferences and 46 C.F.R. § 525.3(f) for marine terminal operators. Electronic submission of the Form FMC-1 data is mandatory under Commission Rules. The system processes the information collected in the electronic form and posts the carriers, ocean transportation intermediaries, conferences, and marine terminal operators’ tariff location addresses on the FMC-1 List at Links to Tariffs located on the Commission’s homepage. The Commission uses the information collected to access the actual tariff publication and review for compliance with Commission rules and regulations. The public uses the FMC-1 List to locate carriers’ tariff location addresses to access tariff publications, and to verify OTI/NVOCC status as set forth under 46 C.F.R. § 515.27(d). Click Here To File a Form FMC-1.  For assistance completing the form, please click the HELP button in the upper right-hand corner of the form or contact the Commission at (202) 523-5856.

Yes. Each common carrier (including NVOCCs) and conferences shall notify the Bureau of Trade Analysis , prior to the commencement of common carrier service pursuant to a published tariff, of its organization number, home office address, name and telephone number of the firm’s representative, the location of its tariffs, and the publisher, if any, used to maintain its tariffs, by electronically submitting Form FMC-1 via the Commission’s website at www.fmc.gov. 46 C.F.R. § 520.3(d).

Any changes to the FMC-1 information shall be immediately transmitted to the Bureau of Trade Analysis . 46 C.F.R. § 520.3(d). The filer’s changes can be entered electronically from the Tariff Registration Form (FMC-1) main menu, by selecting "Edit an Existing FMC-1 Form" via the Commission’s website, www.fmc.gov.

The Commission’s staff will provide a unique organization number to a new entity operating as a common carrier or conference in the foreign commerce. 46 C.F.R. § 520.3(d). When an organization changes its name, a new organization number is assigned. The filer completes an "Initial" FMC-1 Form submission and may leave the organization number field blank. A number will be assigned by FMC staff.

Go to the Commission’s website, www.fmc.gov, Click on Links to Tariffs, Click on tab for FMC 1 VOCC, or FMC-1 OTI/NVOCC for "accepted filings," scroll down the list alphabetically to the desired carrier, obtain from the Location of Tariff(s) column the carrier’s tariff location address, then logon to the internet using the tariff location address to find the carrier’s tariff publication in the carrier’s automated tariff system ("CATS"). Some CATS may require that you register to obtain a logon and password to access the system. In addition, a reasonable charge may be assessed to access a CATS system.

Where there may be good cause shown to permit a common carrier to deviate from the provisions of rules governing tariffs under part 520, e.g., for issuance of effective dates on less than the statutory notice under the Commission’s rules; or typographical or clerical errors in tariff publication that cause defective tariff material. 46 C.F.R. § 520.14(a) and (b).

An application for special permission ("SP") may be submitted, in letter form in duplicate, to the Bureau of Trade Analysis , accompanied with a filing fee of $195. The application must contain: organization name, number and trade name of the conference or carrier; tariff number and title; and the rate, commodity, or rules related to the application, and the special circumstances which the applicant believes constitutes good cause to depart from the requirements of the Commission’s rules under 46 C.F.R. Part 520, Carrier Automated Tariffs. Should the authority sought under the SP application be granted and assigned a Special Case number, implementation of the authority granted by the Commission must be used in its entirety, including the prompt publishing of the material for which permission was requested. The Applicants shall use the special case number assigned by the Commission. 46 C.F.R. § 520.14(c) and (d).

A common carrier or a shipper may file a special docket application seeking permission for a common carrier or conference to refund or waive collection of a portion of freight charges if there is:  an error in the tariff; an error in failing to publish a new tariff; or, an error in quoting a new tariff.  Such application must be submitted to the Office of the Secretary, Federal Maritime Commission.  See the Commission’s Rules of Practice and Procedure at 46 C.F.R. § 502.271 for further information.

Carriers and conferences shall inform BTA, in writing, whenever a tariff is canceled and the effective date of that cancellation. 46 C.F.R. § 520.7(b). A carrier or conference may designate its agent to submit, on its behalf, the written cancellation notice to the Commission.

Carriers and conferences shall maintain the data that appeared in its their tariff publication system for a period of five (5) years from the date such information is superseded, canceled or withdrawn, and shall provide on-line access to such data for two (2) years. After two (2) years, such data may be retained on-line or in other electronic form, and shall be made available to any person or the Commission upon request in a reasonable period of time. Carriers and conferences may charge a reasonable fee for the provision of historical data, not to exceed the fees for obtaining such data on-line.  No fee shall apply to federal agencies. 46 C.F.R. § 520.10(a).

It is a carrier’s or conference’s responsibility to publish tariffs in CATS, although they may designate an agent to do so on their behalf. 46 C.F.R. § 520.3(a) and (c). The Commission periodically reviews CATS and may prohibit the use of any system that fails to meet the requirements of rules governing tariffs under 46 C.F.R. Part 520. 46 C.F.R. § 520.10(c).

The matter of payment for services between a carrier or conference and its agent involving CATS is a matter between the parties.

The tariff must be published on or before transportation services commence thereunder, or on the tariff’s effective date. 46 C.F.R. Part 515.

No. The Shipping Act of 1984, as amended only recognizes tariffs of individual common carriers or conferences. Moreover, the definition of "tariff" in 46 C.F.R. § 520.2 states that it is "a publication containing the actual rates, charges, classifications, rules, regulations and practices of a common carrier or a conference of common carriers." The definition further notes that "practices" in tariffs, "in the case of conferences, must be restricted to activities authorized by the basic conference agreement."

On  May 1, 1999.  Prior to this date tariffs were filed with the Commission and historical tariff data was maintained by the Commission.

Yes, to the extent the rates of the controlled carrier are not decreased also. Any action of a controlled carrier in publishing a new tariff that would deviate from other requirements applicable to controlled carriers would require separate special permission.

Tariffs were allowed to carry-over ATFI tariff items showing the ATFI effective dates in CATS tariffs.  On May 1, 1999, all other CATS tariff items intended to be effective on May 1, 1999, were required to show a May 1, 1999 effective date.

There is no 30-day notice requirement that applies to new service tariffs. Consequently, there is no need for special permission to advance the effective date of such new tariffs. They may go into effect immediately.