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.

Who must publish a common carrier tariff?

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).

Must ocean common carriers publish a common tariff?

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.

May other types of ocean common carrier agreements publish a common tariff?

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."

Must marine terminal operators publish tariffs?

No.  See MTO FAQs.

What must be included in a tariff?

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.

What types of services are exempt from tariff publication requirements?

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.

Does the exemption from tariff publication for certain cargo types such as bulk cargo, forest products, etc., apply equally to both ocean common carriers (VOCC) and non-vessel-operating common carriers (NVOCC)?

Yes.

When did the requirement that a tariff could be published rather than filed with the Commission take effect?

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

Does the minimum rate display requirement of 46 C.F.R. § 520.6(e) require a list of assessorial charges that actually apply to the shipment?

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.

Does the access date capability required by 46 C.F.R. § 520.10(b) only apply to historical data or does it also apply to future dates?

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.

Can carriers use codes other than those in the Standard Terminology Appendix?

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.

What is Form FMC-1?

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.

Is Form FMC-1 required in order to offer service pursuant to a tariff(s)?

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).

How are changes submitted to Form FMC-1?

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.

How do I obtain an Organization Number?

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.

How do I access a carrier or conference automated tariff system?

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.

When do I file a special permission application?

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).

How do I correct a clerical error in a tariff?

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).

What is a special docket application for permission to refund or waive freight charges?

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.

If a tariff is canceled, who should provide written notice of cancellation to the Commission?

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.

Once a tariff has been canceled, superceded, or withdrawn, how long must its data be maintained in a carrier’s publication system?

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).

What if a carrier or conference designates an agent to publish, on its behalf, its tariff in CATS?

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).

What if a carrier or conference fails to pay a designated agent for publishing and maintaining historical tariff data in CATS?

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

When must my tariff be published?

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.

Can a non-binding discussion agreement publish a common tariff?

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."

When did the two-year on-line data retention requirement of 46 C.F.R. § 520.10(a) begin?

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

Will the blanket special permission for new tariffs with no increases permitting them to go into effect without the 30 days’ advance notice requirement also apply to controlled carriers?

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.

If a publisher reissued the same tariff that was in AFTI, would it carry forward the same effective dates for the ATFI tariff matter rather than change all effective dates of the tariff items to May 1, 1999?

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.

How will a new carrier instituting a new service be treated after May 1, 1999? Will they be required to provide 30-days’ notice for their new tariffs?

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.