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.

Is Form FMC-1 required regarding tariff(s)?

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).

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. § 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.

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 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.

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 CFR § 520.3(a).

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. 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.

What types of services are exempt from tariff publication requirements?

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.

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.

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

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.

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 CFR § 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 $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).

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

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.

If a tariff is cancelled, 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 CFR § 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 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).

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 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 C.F.R. Part 520. 46 CFR § 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?

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.

Does the minimum rate display requirement of 46 CFR § 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 § 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 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.

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

As stated in § 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.

Do conferences have to publish a common tariff?

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.

Can a non-binding discussion agreement publish 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."

When does the two-year on-line data retention requirement of 46 CFR § 520.10(a) begin?

On May 1, 1999.

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 reissues the same tariff that is now in ATFI, can it carry forward the same effective dates for the ATFI tariff matter rather than changing all effective dates of the tariff items to May 1, 1999?

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.

What is a correction?

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

How does a person correct an error in a service contract?

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).

How does a person access carrier or agreement essential terms publication?

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.

How are service contract effective dates determined?

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.

What is Form FMC-83?

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.

How can a copy of Form FMC-83 be obtained? How is Form FMC-83 filed with the Commission?

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.

Who is required to file Form FMC-83?

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).

What agreements are required to be filed with the Commission?

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.

How do I file an agreement with the Commission?

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.

How do I get a copy of an agreement?

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.

Can I get a list of agreements by carrier, type, geographic region?

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.

How do I find out if an agreement has been filed?

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