Federal

Maritime 

Commission

Fiscal Year 2016 Budget Request 

February 2, 2015

Submitted to the Appropriations Committees

(Subcommittees on Transportation, Housing and Urban 

Development and Related Agencies )

Chairman Mario Cordero
Table of Contents

OVERVIEW.....................................................................................................................................................II

FY 2016 BUDGET REQUEST .............................................................................................................................3

 STRATEGIC GOAL 1

COMPETITION AND FOREIGN PRACTICES ........................................................................................................................ 8

 STRATEGIC GOAL 2

ENFORCEMENT AND ALTERNATIVE DISPUTE RESOLUTION.................................................................................................. 9

LICENSING AND CERTIFICATION................................................................................................................................... 10

 COMMISSION-WIDE ACTION ITEMS 

CUSTOMER SERVICE.................................................................................................................................................. 11

SAVE AWARD ......................................................................................................................................................... 11

REDUCING REGULATORY BURDEN ............................................................................................................................... 12

OPEN DATA / APPLYING INNOVATIVE TECHNOLOGIES .................................................................................................... 12

FY 2014 ACCOMPLISHMENTS........................................................................................................................14

 STRATEGIC GOAL 1

COMPETITION AND FOREIGN PRACTICES ...................................................................................................................... 14

 STRATEGIC GOAL 2

ENFORCEMENT AND ALTERNATIVE DISPUTE RESOLUTION................................................................................................ 17

OCEAN TRANSPORTATION INTERMEDIARIES.................................................................................................................. 20

PASSENGER VESSEL OPERATORS ................................................................................................................................. 20

 ADDITIONAL 2014 ACCOMPLISHMENTS

INFORMATION TECHNOLOGY...................................................................................................................................... 21

REPRESENTATIVE RULEMAKINGS, ADJUDICATIONS, AND LITIGATION ................................................................................. 22

APPENDICES ................................................................................................................................................26

APPENDIX A: RESOURCE ALLOCATION BY PROGRAM................................................................................................... 27

APPENDIX B: FTES AND POSITIONS ALLOCATION BY PROGRAM .................................................................................... 28

APPENDIX C: OBLIGATIONS BY OBJECT CLASS ............................................................................................................ 29

APPENDIX D: RELATIONSHIP OF OBLIGATIONS TO OUTLAYS.......................................................................................... 30

APPENDIX E: PERFORMANCE MEASURES BY STRATEGIC GOALS..................................................................................... 31

APPENDIX F: WORKLOAD SUMMARY........................................................................................................................ 32

APPENDIX G: OIG CERTIFICATION............................................................................................................................ 33
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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OVERVIEW

THE FEDERAL MARITIME COMMISSION’S MISSION

To foster a fair, efficient, and reliable international ocean transportation 

system, and to protect the public from unfair and deceptive practices.

Fulfilling this mission involves pursuing two primary strategic goals:

1. Maintain an efficient and competitive international ocean transportation 

system.

2. Protect the public from unlawful, unfair and deceptive practices and resolve 

shipping disputes.
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

[1]

Regulatory Authority History and Background

The Federal Maritime Commission (FMC or Commission) is an independent agency which 

regulates oceanborne transportation in the foreign commerce of the United States. The bipartisan 

Commission is composed of five Commissioners appointed for staggered five-year terms. The 

President designates one Commissioner to serve as Chairman, the Chief Executive, and 

Administrative Officer of the agency.

The FMC administers the Shipping Act of 1984 (1984 Act, Shipping Act) as amended by the 

Ocean Shipping Reform Act of 1998 (OSRA); section 19 of the Merchant Marine Act, 1920 (1920 

Act); the Foreign Shipping Practices Act of 1988 (FSPA); and sections 2 and 3 of Public Law 

(P.L.) 89-777 (46 U.S.C. §§ 44102 and 44103).

The FMC has been charged with responsibilities including: (1) monitoring the activities of ocean 

common carriers, marine terminal operators (MTOs), ports, and ocean transportation 

intermediaries (OTIs) who operate in the U.S. foreign commerce to ensure just and reasonable 

practices; (2) reviewing competitive activities, such as rate discussion agreements, carrier 

alliances, and other agreements among common carriers and/or MTOs; (3) licensing qualified 

OTIs in the U.S. and ensuring that all OTIs (including foreign OTIs) are bonded or maintain other 

evidence of financial responsibility; (4) maintaining trade monitoring, enforcement and dispute 

resolution programs to assist regulated entities in achieving compliance and to detect and remedy 

malpractices and violations of the prohibited acts set forth in section 10 of the 1984 Act; (5) 

providing dispute resolution services to the industry and consumers; (6) monitoring the laws and 

practices of foreign governments for discriminatory or otherwise adverse impact on shipping 

conditions in U.S. trades, and imposing appropriate remedial action pursuant to section 19 of the 

1920 Act or FSPA; (7) enforcing special regulatory requirements applicable to carriers owned or 

controlled by foreign governments; (8) ensuring that passenger vessel operators (PVO) 

demonstrate adequate financial responsibility to indemnify passengers in the event of nonperformance of voyages or passenger injury or death pursuant to 46 U.S.C. §§ 44102 and 44103; 

and (9) processing and reviewing agreements, service contracts, and service arrangements pursuant 

to the 1984 Act for compliance with statutory requirements; and reviewing common carriers’ 

privately published tariff systems for accessibility, accuracy, and reasonable terms.

To carry out Congress’ charge, the FMC has gathered a small workforce of highly experienced 

economists, attorneys and experts in ocean transportation. The request for an increase of 11 fulltime equivalent (FTEs) in fiscal year (FY) 2016 will continue staff’s efforts to effectively fulfill

its mandate. 

The Commission’s offices and bureaus support the agency in accomplishing its mission. The 

Office of the Inspector General is independent and reports to both the Commissioners and 

Congress. The specific roles and responsibilities of each office can be found at 

http://www.fmc.gov/about/orgchart.aspx. 
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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COMMISSIONER

Rebecca F. Dye

2015 2016 

2 2

 

COMMISSIONER 

Richard A. Lidinsky, Jr.

2015 2016 

2 2

 

COMMISSIONER

 William P. Doyle

2015 2016 

2 2

CHAIRMAN

Mario Cordero

2015 2016 

3 4

Office of the 

Inspector General

2015 2016

2 2 

Office of Equal 

Employment 

Opportunity

2015 2016 

1 1

Office of the 

Managing 

Director

2015 2016 

8 8

 

COMMISSIONER

Michael A. Khouri

2015 2016 

2 2

Office of the 

General 

Counsel

2015 2016 

11 13

Office of the 

Secretary

2015 2016 

8 8

Office of 

Administrative 

Law Judges

2015 2016 

4 4

Office of

Consumer 

Affairs & 

Dispute 

Resolution 

Services

2015 2016 

7 7

Office of 

Budget and 

Finance

2015 2016 

4 5

Office of 

Human 

Resources

2015 2016 

4 5

Office of 

Management 

Services

2015 2016 

4 5

Office of 

Information 

Technology

2015 2016 

8 8

Bureau of 

Certification 

and Licensing

2015 2016 

15 17

Bureau of 

Enforcement

2015 2016 

10 11

Bureau of Trade 

Analysis

2015 2016 

17 18

Area Representatives

Houston 

Los Angeles 

New Orleans 

New York/New Jersey 

Seattle/Tacoma 

South Florida

2015 2016 

10 11

FEDERAL MARITIME COMMISSION 

ORGANIZATION CHART 

Total FY 2015 Enacted: 124 FTEs 

Total FY 2016 Request: 135 FTEs

Administrative

Direction Technical

Direction
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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FY 2016 BUDGET REQUEST

The FMC’s Fiscal Year 2016 Budget Request is $27,387,000 to support 135 FTEs. This is a net

increase of $1,727,000 over the Commission’s 2015 enacted appropriation level. 

An increase of $1.643 million is requested for salary and benefit increases. An additional $84,000 

is requested to meet administrative expense needs. The Commission has achieved significant 

progress during FY 2014 by implementing security enhancements and information technology (IT) 

infrastructure improvements. IT improvements will continue in FY 2015 and FY 2016. The

ongoing multi-year enhancement of FMC IT systems is improving the Commission’s internal 

business processes, expanding research and analysis capabilities, and continuing to improve the 

public’s accessibility to FMC information. The FMC’s continuing transition to Enterprise Content 

Management (ECM) technology will drastically improve turnaround times and reduce application 

processing/registration errors due to current business processes which are labor and paperwork 

intensive. The new technology will enable improved access to documents, data, and the real-time 

status of applications, licenses, and registrations. It will provide a modern and efficient business 

process for applicants and staff, saving time and money while also enabling the FMC to keep pace 

with the electronic business practices of the industries it regulates. The IT investments are 

increasing the agency’s effectiveness, improving outcomes and customer satisfaction with FMC 

services.

The FY 2016 request includes an increase of 11 FTEs over the authorized level of 124 for FY 

2015. The Commission’s ability to meet its mandate and strategic goals depends upon attracting 

and maintaining a strong and dedicated workforce. The 2016 FTEs will play vital roles at the 

Commission, such as meeting the President’s Management Agenda; providing customer service 

to the public and industry; handling time-sensitive requests for assistance; and improving delivery 

of the Commission’s public facing information. New hires in administrative offices will support 

the agency’s ability to respond to acquisition, hiring, and budgetary needs. All of the requested 

new positions will help with sustainability and succession planning and will be a crucial part of 

the FMC’s continued success in maintaining an efficient and competitive international ocean 

transportation system and protecting the public from unlawful, unfair and deceptive practices.
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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Our request is motivated by the Commission’s estimated costs to cover fundamental operational 

needs. As reflected in the above chart, 97% of the Commission’s FY 2016 Budget Request is 

needed to meet payroll expenses, mandatory rent, telephones, interagency services, and critical 

commercial services. The remaining 3% is comprised of supplies and equipment (including IT 

hardware and software) and official travel. Funding resources needed for fiscal years 2015 through 

2016 by object class are provided in Appendix C. To the extent possible, costs have been straightlined. Continued investments are needed in mission-critical technologies (both software and 

hardware) for the Commission to effectively and efficiently carry out its statutory duties.

Salaries & Benefits, 

72%

Travel & 

Transportation, 1%

Rent & 

Communications, 

14%

Interagency 

Services, 5%

Commercial 

Services, 6%

Supplies & 

Equipment, 2%

Allocation of Requested Funds
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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FY 2014 FY 2015 FY 2016

Actual Enacted Request

FTE: Headquarters & Field 112.96 124.00 135.00

Cost: Salaries & Benefits $16,877,651.40 $18,173,000.00 $19,816,000.00

Non-Personnel Expenses $7,773,138.04 $7,487,000.00 $7,571,000.00

Total Cost $24,650,789.44 $25,660,000.00 $27,387,000.00

$7,250,623.35

Executive Summary

FY 2016 FTE by FMC Strategic Goal

Strategic Goal 2

$20,136,376.65

Strategic Goal 1

Federal Maritime Commission

FY 2016 Cost by FMC Strategic Goal

Strategic Goal 2

Protect the public from unlawful, unfair and 

deceptive practices and resolve shipping disputes 

100.47

Strategic Goal 1

Maintain an efficient and competitive international 

ocean transportation system

34.53

The FMC’s role in the U.S. shipping industry remains critical and the FMC will continue to be at 

the forefront of the nation’s oceanborne transportation system in the coming years. The FMC’s 

Strategic Plan, the blueprint for all Commission activities, focuses on maintaining a competitive 

ocean transportation system, facilitating America’s international commerce, and encouraging 

reliable liner service for U.S. exporters and importers. The FMC’s mission directly supports the 

President’s commitment to economic growth and job creation. Commission programs related to 

monitoring international oceanborne trade conditions advance the President’s National Export 

Initiative by promoting access to foreign markets for American exports and efficient supply chains 

for the importation of goods for domestic production and consumption. The Commission also 

supports the President’s Management Agenda and cross-agency priorities by increasing 

efficiencies, customer service initiatives, and public information to make a positive difference in 

the lives of American people and the economy. 

The Commission consistently reaches out to the shipping industry and other government entities 

to educate these groups on the statutes it implements, as well as to address any issues that may 

arise. Commissioners and staff address various industry groups as speakers and panelists to 

provide information on the latest trends and issues related to Commission activities.
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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While the first strategic goal concerning competition encompasses the vital tasks of reviewing and 

monitoring carrier and MTO agreements and monitoring foreign-shipping practices, most of the 

Commission’s programs are covered by the second strategic goal which is protecting the shipping 

public. As reflected on page 7, of the total FY 2016 request, $7,250,623 and 35 FTEs are needed 

to support Strategic Goal 1, Maintain an efficient and competitive international ocean 

transportation system, and $20,136,377 and 100 FTEs are needed to support Strategic Goal 2, 

Protect the public from unlawful, unfair and deceptive ocean transportation practices and resolve 

shipping disputes. The Commission-wide action items, addressed on page 11, identify the FMC’s

ongoing commitment to improve its infrastructure and open data to the public and stakeholders.

Included in this FY 2016 Budget Request are a number of charts to explain the funding and FTE 

resources needed to meet the Commission’s mission and congressional mandate. Specifically,

Appendices A and B provide detailed funding and FTE requirements at the program level. 

Appendix C categorizes the funding resources needed for fiscal years 2015 through 2016 by object 

class. Appendix D provides funding by program areas and the relationship of the Commission’s 

obligations to outlays by fiscal year. Appendix E details the FMC’s Strategic Goals, Objectives 

and Performance Measures. Appendix F provides the Commission’s Workload Summary 

statistics, and Appendix G is the Certification of the Office of the Inspector General’s FY 2016 

Budget Request. 

Proposed Appropriation Language, Salaries, and Expenses

For necessary expenses of the Federal Maritime Commission as authorized by section 201(d) of 

the Merchant Marine Act, 1936, as amended (46 U.S.C. 307), including services as authorized by 

5 U.S.C. 3109; hire of passenger motor vehicles as authorized by 31 U.S.C. 1343(b); and uniforms 

or allowances therefore, as authorized by 5 U.S.C. 5901 - 5902, $25,660,000 $27,387,000: 

Provided, That not to exceed $2,000 shall be available for official reception and representation 

expenses. (Transportation, Housing and Urban Development, and Related Agencies 

Appropriations Act, 2015.)
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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Strategic Goal 

#1 

$7,250,623 

Strategic Goal 

#2 

$20,136,377 

Funding Request by Strategic Goal

Maintain an efficient and 

competitive international 

ocean transportation

system

Protect the public from unlawful, 

unfair and deceptive ocean 

transportation practices and resolve 

shipping disputes

Strategic Goal 

#1 

34.53

Strategic Goal 

#2 

100.47

FTE Request by Strategic Goal

Maintain an efficient and 

competitive international 

ocean transportation 

system

Protect the public from unlawful, 

unfair and deceptive ocean 

transportation practices and resolve 

shipping disputes
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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Strategic Goal 1:

Maintain an efficient and competitive international ocean transportation 

system 

Competition and Foreign Practices

The focus of the Commission’s program of reviewing and monitoring carrier and MTO agreements 

is to enhance trade efficiency through the use of various types of agreement authority. Agreement 

filings in 2015 and 2016 are expected to number approximately 150 per year (see Appendix F for 

these and other workload statistics). Agreement activity during FY 2014 significantly increased, 

attributable in part to the establishment and implementation of several major operational shipping 

alliances in the global containership industry. The Commission’s Bureau of Trade Analysis (BTA) 

rapidly handles the economic assessment and provides guidance to the Commission on filed 

agreements. During FY 2016, the Commission will continue to monitor key U.S. trade lanes, and 

review and analyze the competitive impact of agreements. In particular, the Commission will 

exercise close oversight of the increasing operational cooperation occurring among ocean carriers 

as the global liner trades continue to rapidly evolve. With increasing pressure on consolidation in 

the industry, port congestion, rising energy costs, and environmental concerns, the Commission is 

particularly sensitive to the impact on the nation’s exporters and their need for efficient and 

competitive ocean transportation in reaching foreign markets. 

The Commission monitors foreign laws and practices to determine whether there are any unjust 

non-market barriers to trade, and takes action where appropriate. It also classifies controlled 

carriers subject to section 9 of the Shipping Act of 1984. Common carriers that are owned or 

controlled by foreign governments are required to adhere to certain requirements under the 1984 

Act, and their rates are subject to Commission review. The Commission is particularly concerned 

with foreign restrictions that unjustly disadvantage U.S. interests.

Vessel-operating common carrier (VOCC) service contracts and non-vessel-operating common 

carrier (NVOCC) Negotiated Service Arrangements (NSAs) are required to be filed with the 

Commission. Under service contracts and NSAs, shippers make a commitment to provide a certain 

volume or portion of cargo over a fixed period of time, and carriers and NVOCCs commit to a 

specified rate and a defined service level. These confidential contracts and arrangements are filed 

into the Commission’s automated Service Contract Filing System (SERVCON). 

During fiscal years 2015 and 2016, the Commission expects to receive SERVCON filings of 

approximately 51,000 service contracts and 560,000 contract amendments, 1,600 original NSAs, 

and 2,000 amendments.

In fiscal years 2015 and 2016, the Commission will continue to monitor service contract, tariff, 

and agreement activities, prepare reports and economic analyses on developments and issues in 

key U.S. trades, review the activities of controlled carriers, and respond to inquiries and informal 

complaints. In addition, the Commission will monitor changes taking place in the provision of 

chassis for the inland movement of containerized goods. The Commission will continue to oversee 

international trade issues, including unfair foreign shipping practices. The FMC participates with 
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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the U.S. Customs and Border Protection (CBP) in development of the Automated Commercial 

Environment/International Trade Data System (ACE/ITDS) to advance the nation’s security 

interest and protect U.S. ports. It will also continue to participate in the Maritime Data Working 

Group and the Interagency Action Team for the National Committee on the Marine Transportation 

System, furthering our nation’s maritime interests. 

Also in fiscal years 2015 and 2016, the Commission’s Office of Information Technology (OIT) 

will enhance IT systems with respect to the agreement and trade monitoring programs in order to 

streamline internal business processes and expand research capabilities, as well as to improve 

external users’ filing processes. The Commission is working to optimize the internal architecture 

of the SERVCON system to allow the search functionality to keep pace with the rapid 

accumulation of records in the system. 

Strategic Goal 2: 

Protect the public from unlawful, unfair and deceptive practices and resolve 

shipping disputes.

Enforcement and Alternative Dispute Resolution

The first objective of Strategic Goal 2 is to identify and take action to end unlawful, unfair and 

deceptive practices. The Commission’s activities pursue this goal with both enforcement and 

compliance programs, and also through dispute resolution. In fiscal years 2015 and 2016, the 

FMC will continue enforcement actions against those who pursue market-distorting, fraudulent, 

and anti-competitive practices harmful to the industry and the public. The Commission will 

advance initiatives aimed at VOCCs and NVOCCs engaged in unfair service contracting practices, 

particularly the practices which permit improper entities, such as unlicensed OTIs, to compete 

unlawfully with carriers and OTIs operating in compliance with U.S. laws. 

The FMC’s program to monitor and audit ocean common carrier, NVOCC, and ocean freight 

forwarder (OFF) operations continues to be a Commission focus. This program conducts up to

130 OTI audits each year which reviews the operations of licensed OTIs to assist them in 

complying with the statutory requirements and the Commission’s regulations. It emphasizes 

correction of routine tariff matters and prompt compliance with reporting, licensing, and bonding 

requirements. The FMC annually audits for compliance approximately 2.5% of the nearly 6,000 

licensed and bonded OTIs currently registered with the Commission. 

Informal dispute resolution is ongoing at the FMC. The FMC will continue to facilitate the 

resolution of informal complaints and disputes, and investigate unlawful practices by carriers, 

MTOs, and OTIs. In their outreach roles, the Office of Consumer Affairs and Dispute Resolution 

Services (CADRS) and the FMC’s Area Representatives (ARs) will educate maritime 

transportation users and providers on FMC statutes and regulations, assist shippers with access to 

transportation services, and help address any transportation disputes that may arise, such as shipper 

concerns regarding demurrage charges, charges related to the storage of containers at marine 

terminals beyond the allotted free time.
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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The FMC will continue to expand its participation in security initiatives as they relate to U.S. ocean 

commerce. Specifically, the Commission is working to coordinate the use of available database 

systems with other agencies engaged in homeland security to improve identification of entities 

providing and utilizing maritime transportation services. To facilitate these activities, a

Memorandum of Understanding (MOU) between the U.S. Customs and Border Protection and the 

FMC was recently updated and expanded to provide more efficient utilization of existing systems 

and services. The FMC also has an active MOU with the Census Bureau, U.S. Department of 

Commerce, providing the FMC with access to the Census’ Automated Export System (AES) 

database. The MOU allows the FMC to handle and use the confidential U.S. export shipment data 

to accomplish its mission and protecting the nation’s security interests. The FMC also supports 

the nation’s economic and security interests by partnering with the National Intellectual Property 

Rights Coordination Center (IPR Center), a Department of Homeland Security-led partnership of 

21 Federal and international agencies targeting intellectual property- and trade-related crimes.

The FMC’s outreach efforts have been successful in promoting the industry’s awareness of 

Commission-based facilitation and arbitration. The Commission supports the trend for mediation 

and collaborative dispute resolution when feasible. The Commission requires parties involved in 

formal Commission docketed proceedings to attend mandatory mediation conferences. 

Efforts to further expand awareness of the Commission’s Alternative Dispute Resolution (ADR) 

services will continue through internal and external education programs, training, and other 

appropriate methods. Use of mediation will be promoted to assist in resolving formal proceedings, 

service contract matters, and other significant disputes. 

Further, the Commission offers periodic seminars and instructional opportunities to educate 

consumers and regulated entities regarding regulations, shipping trends, best practices, and the 

effective use of FMC services to resolve shipping disputes. Consumer protection will be enhanced 

by the FMC’s plan to develop electronic delivery of this information through webinar capability.

Licensing and Certification

The second objective of Strategic Goal 2 is to prevent public harm through licensing and financial 

responsibility requirements. The FMC licenses OTIs as mandated by the Shipping Act, and 

provides financial certification of PVOs. OTIs are transportation middlemen for oceanborne cargo 

moving in the U.S.-foreign trades. An OTI applicant must establish to the FMC that it has the 

necessary character to render OTI services as well as establish its financial responsibility by means 

of a bond, insurance, or other instrument, and demonstrate a minimum of three years of experience 

in ocean transportation intermediary activities in the U.S. 

There are approximately 6,000 domestic and foreign OTIs regulated by the Commission. Over 

650 licensing transactions were processed in FY 2014. Currently 967 OFFs; 1,734 U.S.-based 

NVOCCs; 1,992 joint NVOCCs/OFFs; and 76 foreign-based NVOCCs hold active OTI licenses. 

An additional 1,259 foreign-based NVOCCs are registered and maintain proof of financial 

responsibility with the Commission. Approximately 1,400 foreign-based NVOCC registration 

transactions were processed in FY 2014, including 1,333 new registrations and 52 revised 

registrations. Registered unlicensed NVOCCs must renew their registrations every three years.
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The FMC also oversees the passenger vessel operator financial responsibility program. Evidence 

of financial responsibility is required for vessels that have berth or stateroom accommodations for 

50 or more passengers, and embark passengers at U.S. ports and territories. Certificates of 

performance cover financial responsibility for the indemnification of passengers for nonperformance of transportation. This requirement also helps prevent unscrupulous or financially 

weak operators from serving U.S. ports. The current PVO program encompasses 213 vessels and 

45 operators with aggregate evidence of financial responsibility coverage in excess of $446 million 

for non-performance and over $774 million for casualty. The FMC protects the cruising public by 

offering information and guidance throughout the year on passenger rights and obligations 

regarding monies paid to cruise lines that fail to perform voyages.

The number of PVOs in the program is likely to remain constant in fiscal years 2015 and 2016. 

The Commission recently changed its PVO rules by adjusting the coverage amounts and 

implementing five-year expiration on PVO performance certificates. The Commission will 

continue to seek ways to enhance PVO monitoring procedures during 2015 and 2016.

Commission-wide Action Items - Supporting the President’s Management 

Agenda and Cross-Agency Priorities

.

In addition to the strategic goals above, the FMC continues to make progress on Commission and 

government-wide initiatives that will strengthen the Commission and the ability of government to 

react to the rapidly changing needs of its citizens.

Customer Service

The FMC provides direct services to the public through a number of offices and programs. The 

Office of the Secretary updates the FMC’s website and social media, and responds to requests 

from the press and the public. The Commission’s Office of Consumer Affairs and Dispute 

Resolution Services receives time-sensitive requests for assistance (through e-mail and calls to its 

toll-free number) from shippers and carriers. Similarly, the Commission’s Area Representatives, 

strategically located at key maritime ports (Southern California, Seattle/Tacoma, New York/New 

Jersey, Houston, New Orleans, and South Florida), commonly operate as the front line for 

questions and issues facing the industry. 

SAVE Award

The Commission’s senior staff have an open door policy for employees to discuss ideas to improve 

the agency and government functions. Suggestion boxes and cards are located at headquarters in 

the common areas. The FMC will continue to identify best practices to implement the President’s 

SAVE (Securing Americans Value and Efficiency) Award program. Many of the Commission’s 

IT strategies, discussed below, are also aimed at increasing agency-wide efficiencies to reduce 

costs.
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

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Reducing Regulatory Burden

The FMC continuously reviews its regulatory processes. As economic conditions alter the state 

of our trades, regulations are revised to respond to new conditions. As part of an ongoing Plan for 

Retrospective Review of Existing Rules (initiated in FY 2012), the FMC is systematically

reviewing, evaluating and making recommendations for improvements to its regulatory 

requirements concerning the filing and processing of agreements, quarterly monitoring reports, 

and agreement meeting minutes. A review of the regulations governing service contracts and 

NVOCC service arrangements continued in FY 2014, and recommendations are being developed 

for the Commission’s consideration. It is anticipated that this rulemaking initiative will conclude 

in FY 2015. A review of the Marine Terminal Operator Schedule regulations is planned to begin 

in FY 2015 and, in FY 2016, a review of the Carrier Automated Tariff regulations is scheduled.

In fiscal years 2015 and 2016, the Commission will: (1) review the impact of recent rule changes 

affecting the passenger vessel program and explore alternatives to enhance PVO monitoring 

procedures: (2) review suggested amendments to the regulations regarding OTI licensing and 

financial responsibility requirements in light of changed industry circumstances; (3) continue 

efforts to develop, enhance, and implement an improved electronic application process for both 

OTIs and PVOs; (4) review the Marine Terminal Operator Schedule regulations; and (5) review 

the Carrier Automated Tariff regulations.

Open Data / Applying Innovative Technologies

The FMC is committed to the ongoing multi-year enhancement of its IT systems, which will 

ultimately make it faster and easier for individuals and businesses to complete transactions and 

have positive experiences with the government. As indicated previously, much of this work 

involves a transition to the use of Enterprise Content Management or ECM technology. In 

connection with increasing the public’s accessibility to FMC information, the Commission will 

begin implementing a plan to upgrade the website and document repository in fiscal year 2015.

Planned FMC actions that open up government data for FY 2015 and 2016 include efforts to: 

 modernize and expand the Regulated Persons Index (RPI), a critical database that contains 

up-to-date records of licensed OTIs (OFFs and NVOCCs), ocean common carriers, MTOs 

and other entities, which is used by FMC staff, the shipping public, and other governmental 

security and trade entities. The modernization of this system, along with continued 

investments in public information and education, will give the public access to useful 

information to make critical decisions on how to move their goods overseas;

 develop and begin implementation of a plan to upgrade the FMC’s current internet hosting, 

maintenance, and public document repository solution to include launching a newly 

designed website that will implement technology to make Commission information more 

easily accessible via mobile devices;

 update the public on issues in the trade and cruise issues via consumer alerts and public 

service announcements published on the FMC website and other social media; 

 provide continuous updates to key public information including website publication of the 

docketing activity and documents for cases filed before the Commission;
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 provide public access to filed agreements through the FMC’s agreement library, accessible 

through the FMC website; and 

 provide the public with key FMC studies and economic analysis of shipping industry trends 

when applicable. 

Planned FMC IT actions that provide internal improvements for FY 2015 and 2016 include efforts 

to:

 continue to develop and deploy the ECM technology, which will consolidate all OTI 

applications and renewal processes, enhancing the ability of applicants to file 

electronically, reducing errors and enabling staff to significantly increase efficiency in 

processing applications and renewals for approximately 6,000 licensed/registered OTIs. 

This improvement will support the ability of American entrepreneurs to enter the industry 

and offer needed services to the public; 

 build and deploy a new Service Contract Filing System for ease of filing, and optimize the 

internal architecture of SERVCON, particularly the search functionality needed to keep 

pace with the rapid accumulation of records. This improvement will facilitate U.S. trade 

and allow shippers and carriers to more rapidly respond to real-time business needs; 

 develop a plan to automate the filing of applications for certificates by PVOs for more 

efficient processing and to permit applicants to use available technology to easily interact 

with the Commission to complete their Congressionally mandated requirements;

 develop and implement an updated CADRS case tracking system for more responsive 

handling of consumer complaints; 

 design and deploy an updated Automated Tariff Registration System (Form-1) for VOCCs, 

NVOCCs, conferences, and MTOs; 

 migrate IT security standards from the Certification and Accreditation (C&A) process to 

the Risk Management Framework (RMF) process for all applicable systems; 

 update the FMC IT desktop infrastructure through the User Experience Modernization 

(UEM) project, which is a multifaceted approach to modernize desktop hardware and 

software while also transitioning infrastructure components to a cloud environment; 

 refresh the datacenter hardware, including servers, and network and security appliances;

 enhance IT systems with respect to agreement filing and trade monitoring programs in 

order to streamline internal business processes; and

 establish the FMC Disaster Recovery (DR) infrastructure in order to meet recovery points, 

times, and objectives.
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FY 2014 ACCOMPLISHMENTS

Strategic Goal 1:

Maintain an efficient and competitive international ocean transportation system 

Competition and Foreign Practices

Competitive ocean transportation facilitates commerce, economic growth, and job creation. 

Competition among participants in U.S. liner trades fosters competitive rates and encourages a 

variety of service offerings for the benefit of U.S. exporters and importers, and ultimately, 

consumers. The 1984 Act grants ocean carriers and MTOs limited antitrust immunity for activities 

pursuant to agreements they file with the Commission. Carrier and MTO agreements are subject 

to competition analyses and subsequent monitoring of their activities to guard against possible 

abuse of that limited immunity, to avoid unreasonable increases in transportation costs or decreases 

in transportation services, and to guard against other activities prohibited by the 1984 Act. Due to 

greater operational collaboration among shipping lines, the use of much larger and more fuelefficient vessels, and other contributing factors, container terminals at U.S. ports presented 

significant congestion in late FY 2014. The FMC monitored the growing challenge of congestion 

at ports in FY 2014, publishing an advisory notice regarding publication requirements for imposing 

new costs, and, beginning in September 2014, held a number of regional port forums to promote 

dialogue on the causes and implications of congestion at U.S. ports. The FMC continues to remain 

vigilant to monitor, and, when possible, facilitate solutions to this growing problem. 
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Trade Oversight and Industry Research 

In fiscal year 2014, the Commission administered its agreement oversight responsibilities and 

produced various reports and analyses. Activities included: 

 preparing a Request for Additional Information (RFAI), a competitive impact analysis, and 

periodic monitoring report requirements for the major operational shipping alliance formed 

under the P3 Network Vessel Sharing Agreement; 

 preparing an RFAI, a competitive impact analysis, and periodic monitoring report 

requirements for the amendment expanding the geographic scope and cooperative services 

under the G6 Alliance Agreement; 

 preparing a competitive impact analysis, and reporting requirements for the discussion 

agreement between MTOs formed under the Seattle Marine Terminal Operators/Port of 

Seattle Discussion Agreement; 

 preparing a competitive impact analysis on the amendment adding Pacific International 

Lines (PIL) as a member to the United States/Australasia Discussion Agreement; 

 preparing an RFAI, and a competitive impact analysis on capacity in the trade lane from 

the U.S. Pacific to Australia/New Zealand resulting from the OVSA/PIL Space Charter and 

Cooperative Working Agreement; 

 monitoring developments and the availability of chassis under the Consolidated Chassis 

Management Pool Agreement as carriers divest their chassis fleets and discontinue 

providing chassis service; 

 monitoring the Pier Pass program under the West Coast MTO Agreement to ensure its 

operational features are in conformity with the U.S. shipping statutes; 

 responding to an inquiry from the U.S. Department of Defense on the shipment of military 

household goods by U.S.-flag carriers under the Trans-Atlantic American Flag Liner 

Operators Agreement and the Trans-Pacific American Flag Berth Operators Agreement; 

 conducting biannual meetings with representatives of the Transpacific Stabilization 

Agreement to review major developments in the ocean liner trade between the U.S. and 

Asia; 

 reviewing the regulations in 46 C.F.R. parts 530, 531, and 535 as part of the Commission's 

Plan for Retrospective Review of Existing Rules, and developing recommendations for 

updating the regulations; 

 preparing analyses in accordance with the Regulatory Flexibility Act to assess the small 

business impact of proposed rules to update the Commission's user and filing fees, and to 

adjust the regulations in 46 C.F.R. part 515 governing the licensing and financial 

responsibility of OTIs; 

 preparing the quarterly Economics & Trade Briefing for the Commission; 

 reviewing the Commission's agreement monitoring program to improve its oversight of 

major rate discussion and alliance agreements; 

 developing a performance goal metric to measure the efficiency of asset sharing between 

ocean carriers as part of the Commission's Strategic Plan; 

 participating in the Automated Commercial Environment (ACE) under the U.S. Customs 

and Border Protection; and 

 providing data and information on liner trade conditions and agreement matters in response 

to requests from within and outside the Commission.
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During the fiscal year, the Commission reviewed 724 sets of minutes, 601 monitoring reports and 

related reports, and 77 voluntary service contract guidelines.

The Commission’s Office of the General Counsel (OGC) is responsible for the administration of 

the Commission's international affairs program. The OGC monitors foreign shipping laws and 

practices that may have an adverse effect on the industry, and makes recommendations to the 

Commission for investigating and addressing such practices. The Commission has the authority 

to address restrictive foreign shipping practices under section 19 of the 1920 Act and the Foreign 

Shipping Practices Act. Section 19 empowers the Commission to make rules and regulations 

governing shipping in the foreign trade to adjust or meet conditions unfavorable to shipping. The 

FSPA directs the Commission to address adverse conditions that affect United States’ carriers in 

foreign trade and that do not exist for foreign carriers in the United States.

In fiscal year 2014, the FMC informally pursued several matters that involved potentially 

restrictive foreign practices including new legislation, new interpretations of existing legislation, 

and new regulations of non-domestic carriers’ terminal handling charges. The FMC continued to 

monitor and participate, both formally and informally, in international agreement negotiations that 

could affect foreign-borne cargo shipments to the United States. In addition, the FMC tracked 

consumer inquiries regarding possible foreign restrictive shipping practices.

The FMC continues its international outreach efforts by attending and coordinating events with 

foreign embassies and counterparts, and monitors foreign laws and practices to determine whether 

there are any unjust non-market barriers to trade. The Commission also classifies controlled 

carriers subject to Section 9 of the Shipping Act of 1984. Common carriers owned or controlled 

by foreign governments are required to adhere to certain requirements under the 1984 Act, and 

their rates are subject to Commission review. The Commission monitors the activities of 

controlled carriers.

Agreements, Contracts, and Tariffs

During fiscal year 2014, 44,208 service contracts and 573,208 contract amendments were filed 

into the SERVCON system. The Commission processed 1,583 original NSAs and 1,864 

amendments filed by 92 NVOCCs, and received, processed, and reviewed 1,327 Form FMC-1 

filings, making the locations of those tariffs available to the public through its website. At the end 

of the fiscal year, 5,355 active/current tariff locations were posted to the agency’s website.

The FMC continues to conduct service contract and tariff research in support of the Commission’s 

agreement monitoring program and ad hoc research to meet the agency’s internal needs for 

information. The FMC also conducts statistical research on service contracts on file that reference 

container freight indices and various surcharges, such as congestion surcharges, as well as on 

General Rate Increases set by the ocean carriers.

Also during fiscal year 2014, the FMC conducted compliance audits of NVOCC tariffs and 

continued monitoring NVOCC tariff rules in connection with the Commission’s regulations 

governing NVOCC Negotiated Rate Arrangements (NRAs) allowing NVOCCs to “opt out” of 

publicly posting rate tariffs on the internet so long as they use NRAs exclusively, maintain their 

rules tariffs free of charge, and comply with other requirements. At the end of fiscal year 2014, 

more than 900 NVOCCs had filed prominent notices or a rule in their respective tariff indicating 
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that they have invoked the NRA exemption. The FMC continues to educate NVOCCs regarding 

NRA compliance and will continue to inform the shipping public, including developing web-based 

training to facilitate full compliance with NRA requirements.

Agreement activity significantly increased during fiscal year 2014, attributable in part to the 

establishment and implementation of several major operational shipping alliances in the global 

containership industry, such as the P3 Network Vessel Sharing Agreement and the G6 Alliance 

Agreement. During fiscal year 2014, the FMC received 186 agreement filings for review, 

including amendments to existing agreements and terminations of existing agreements. These 

alliance agreements, and the filing of a substantial number of cooperative arrangements between 

these agreements and other carriers or groups of carriers, appear to correlate with the cascading of 

larger vessels from the Asia-Europe trade to the U.S. trades. Each of the alliance agreements and 

a number of other operational agreements were reviewed by the Commission. 

Strategic Goal 2: 

Protect the public from unlawful, unfair and deceptive practices and resolve shipping 

disputes.

Enforcement and Alternative Dispute Resolution

The Commission undertook a number of significant actions during fiscal year 2014 to contribute 

to the integrity and security of the nation’s import and export supply chains and protect the public 

from financial harm. 

Investigations and Enforcement Proceedings

Major investigations undertaken or completed during fiscal year 2014 addressed practices of 

certain OTIs operating in the volatile China-U.S. inbound trades, as well as VOCCs seeking to 

operate pursuant to agreements that were not filed with the Commission. In Docket No. 14-05, 

the Commission commenced an investigation of an ocean freight forwarder and an affiliated 

shipper involving improper receipt of freight forwarder compensation upon the affiliate’s 

shipments and the apparent return of such funds to the shipper. In Docket No. 14-02, the 

Commission initiated a formal investigation of an NVOCC obtaining ocean transportation at less 

than the rates or charges otherwise applicable, through the unfair device or means of accessing 

service contracts to which it was neither a contract signatory nor corporate affiliate thereof. In 

Docket No. 13-01, the Commission issued an order affirming the Administrative Law Judge’s 

(ALJ) default decision assessing civil penalties for unlawfully accessing the service contracts of 

other parties, but modifying the language of the ALJ’s order to cease and desist. The Bureau of 

Enforcement (BOE) also submitted a Reply to Respondents’ Brief on Appeal of the ALJ’s 

Decision on Remand in Docket No. 12-01, urging the Commission to uphold the ALJ’s 

determination that respondents violated section 10(a)(1) of the Shipping Act by providing service 

to an unlicensed, unbonded NVOCC. The Commission previously determined that the agency’s 

denial of an OTI license to respondents would be upheld on appeal. 
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The Commission also continued its investigations of the car carrier trades between Japan and the 

U.S., and in other U.S. trades inbound and outbound, culminating in two settlements relating to 

unfiled carrier agreements. Penalties against the three carriers involved netted $1,900,000. In 

addition, the Commission collected nearly $300,000 in penalties against two smaller carriers for 

operating under an unfiled space charter agreement affecting their container and break-bulk 

services.

At the beginning of fiscal year 2014, 13 enforcement cases were pending final resolution by the 

FMC and BOE was party to 3 formal proceedings. During the fiscal year, 15 new enforcement 

actions were referred for enforcement action or informal compromise; 18 were compromised and 

settled, administratively closed, or referred for formal proceedings; and 10 enforcement cases were 

pending resolution at fiscal year’s end. Also, 4 formal proceedings were initiated; 4 formal 

proceedings were completed, and 3 were pending at the end of the fiscal year.

At the beginning of fiscal year 2014, 10 compliance audits were pending. During the fiscal year, 

124 audits were commenced, 120 audits were completed (including audits carried over from fiscal 

year 2013), and 14 remained pending in the Bureau on September 30, 2014. 

During fiscal year 2014, Area Representatives handled hundreds of informal complaints typically 

alleging unlawful activity. When possible, compliance with statutory and regulatory requirements 

was achieved informally. In other instances, investigative cases were opened and the Area 

Representatives conducted investigations to determine any unlawful activity. Most of these 

investigations were resolved informally, some with compromise settlements and civil penalties. 

The Area Representatives also participated in various enforcement initiatives sponsored by local 

law enforcement, the U.S. Department of Justice, the Department of Homeland Security (including 

CBP and Immigration and Customs Enforcement), the Department of Commerce, and the Federal 

Motor Carriers Safety Administration. This participation and sharing of information contributed 

positively to the investigation of a wide range of unlawful activities. 

Ombuds Services and Educational Outreach

During fiscal year 2014, the Commission’s Office of Consumer Affairs and Dispute Resolution 

Services handled 1,664 requests for ombuds services. These included 77 passenger complaints 

about cruise line issues, 1,449 complaints with respect to household goods shipments, 136

complaints involving other cargo shipment matters, and 2 matters that involved other maritimerelated issues. It is anticipated that the complexity and number of ombuds cases will continue to 

increase in light of recent educational meetings with trade associations, regulatory stakeholders, 

and others in the logistics chain. The Commission will continue to enhance its role in identifying 

industry trends and advising agency components regarding policies that address emerging trends 

and enhance the objectives of the shipping public. 

Mediation is available to parties at any stage of a shipping dispute. During the fiscal year, the 

FMC provided mediation services in 9 matters. It is anticipated that requests for mediation services 

will continue to increase in light of a new regulation requiring parties involved in formal 

Commission docketed proceedings to attend mandatory mediation conferences.
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In addition to providing ADR services, the FMC adjudicates small claims through informal 

proceedings. In FY 2014, FMC Settlement Officers issued 14 informal docket decisions and the 

Commission issued 9 final orders in informal proceedings. FMC staff also adjudicated 3 shipper 

and carrier special docket filings seeking refunds or waivers of tariff charges. 

The FMC frequently offers educational opportunities to regulatory stakeholders and the shipping 

public regarding Commission programs, regulatory requirements, industry best practices, and the 

use of ADR to resolve disputes. The FMC issues consumer alerts, and participates in webinars, 

trade association meetings, media interviews, public stakeholder meetings, lectures at academic 

institutions, and other individualized meetings and educational sessions with stakeholders. In fiscal 

years 2015 and 2016, the FMC intends to continue its efforts to further expand awareness of its 

ADR services. Use of mediation will be promoted to assist in resolving formal proceedings, 

service contract matters, and other significant disputes. 

The Commission continues to monitor public usage trends and leverage user feedback to 

implement small-scale improvements to the website. Improvements for FY 2014 included: 

homepage layout changes to highlight higher-priority information; implementing GSA's 

DigitalGov Search upgrades (formally USASearch) to increase website click-through traffic; 

implementing a photo sharing tool to increase visibility of Commissioner and Commission staff 

outreach and education activities; adjustments to the global navigation to improve visibility of 

important information; and archiving and streamlining content to improve delivery and accuracy 

of information. 

The Commission completed a project that replaced a long-established business process for 

publishing Ocean Transportation Intermediary licensing notices in the Federal Register (FR) with 

a lower cost, FMC web-based solution. These notices are now provided to the public using the 

Commission's website at no additional cost to the agency. 

In FY 2014, the Commission published 5 on-line consumer alerts regarding complaints against 

certain household goods movers and 3 alerts regarding what cruise passengers can expect by way 

of compensation for cruise line service disruptions. These alerts provide useful public information 

and increase awareness of available FMC assistance and services. 

The Commission continued its outreach programs, speaking to industry audiences on the use of 

mediation and arbitration in shipping disputes, and explaining OTI licensing requirements and 

compliance with the new NRA Tariff Rate Exemption. The Commission presented to government 

agencies and university audiences about its programs and mandate. The Commission also worked 

closely with a number of law enforcement agencies, including local jurisdictions such as the New 

Jersey State Police, Broward County Sheriff’s Office (Ft. Lauderdale, FL), and other Federal 

agencies including the Federal Bureau of Investigations and Department of Homeland Security. 
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Ocean Transportation Intermediaries 

In FY 2014, the Commission received 367 new OTI applications and 256 amended applications, 

issued 232 new OTI licenses and 107 amended licenses, revoked 270 licenses, and 87 licenses 

were voluntarily surrendered. In FY 2014, the Commission completed 71.3 percent of all OTI 

license applications within 60 days. Currently, 967 OFFs; 1,734 U.S. NVOCCs; 1,948 joint 

NVOCC/OFFs; and 74 foreign NVOCCs hold active OTI licenses. An additional 1,259 foreignbased NVOCCs are registered and maintain proof of financial responsibility on file with the 

Commission, but choose not to be licensed. 

As part of its continuing outreach effort, the FMC also responded to 5,667 inquiries regarding 

licensing and related OTI issues during this period. 

U.S. NVOCCs may file riders to their existing NVOCC bonds to meet financial responsibility 

requirements imposed by the Chinese government. In FY 2014, 81 China bond riders have been 

received, providing optional proof of financial responsibility for NVOCCs serving the U.S.-China 

trade, and 28 riders were terminated.

Passenger Vessel Operators

The Commission has approved and issued 11 casualty certificates and 9 performance certificates 

during fiscal year 2014. The program encompassed 213 vessels and 45 operators, which had 

aggregate evidence of financial responsibility coverage in excess of $446 million for nonperformance and over $744 million for casualty. In 2014, the Commission processed changes to 

PVOs financial instruments because the maximum unearned passenger revenue (UPR) coverage 

(cap) requirement increased from $15 million to $22 million. The cap will increase to $30 million 

in 2015.
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Additional 2014 Achievements 

 

Information Technology

During fiscal year 2014, the Commission completed a 2014-2018 Information Resources 

Management (IRM) Strategic Plan expanding the IT actions identified in the FMC’s Strategic Plan 

covering the same time period. A major element of the plan is to significantly upgrade internal IT 

systems through the implementation of an Enterprise Content Management solution to improve 

data support for all Commission programs and research projects, as well as to simplify stakeholder 

filing processes. 

The Commission continued to enhance its information technology capabilities in a number of 

areas, including undergoing a multi-year transition to use ECM technology for managing its 

business activities and information needs. Important ongoing IT activities include: 

 FMC-18 Application System and enterprise data store development, which is integral to 

the Commission’s ECM solution; 

 Data backup and recovery infrastructure hardware and software modernization;

 FMC desktop hardware and operating system modernization;

 New cloud-based email and collaboration service conversion; 

 DHS Continuous Diagnostics and Mitigation (CDM) project in accordance with OMB M14-03/04;

 HSPD-12 implementation;

 Pay.gov implementation, enabling electronic payments from the public;

 Multi-year Enterprise Software Agreement with Microsoft; and

 MOU with CBP to allow data from CBP’s ACE to be accessed directly by the FMC for 

use in fulfilling its statutory and regulatory duties and responsibilities, including accessing 

trade data that facilitates the Commission’s oversight of carrier agreement filings. This 

direct transfer of data will conserve resources of both agencies and ensure greater trade 

compliance with the SAFE Port Act.
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Representative Rulemakings, Adjudications, and Litigation

Rulemakings

 Amendments to OTI Licensing and Financial Responsibility Requirements 

[Docket 13-05].

The Commission issued an Advanced Notice of Proposed Rulemaking (ANPRM) to 

evaluate whether certain rules governing the licensing, financial responsibility 

requirements and duties of OTIs should be amended. A number of comments were 

received and reviewed and the Commission anticipates moving forward with a Notice 

of Proposed Rulemaking in FY 2015.

 Informal Procedure for Adjudication of Small Claims, Direct Final Rule, [Docket 

No. 14-09] (79 FR 46714).

The Federal Maritime Commission amended Subpart S of 46 CFR Part 502, which sets 

forth the Commission’s rules for the adjudication of small claims filed with the 

Commission seeking reparations in the amount of $50,000 or less for violation of the 

Shipping Act of 1984. The new rules provide that claims less than $50,000 will be 

decided by a Small Claims Officer appointed by the Commission’s Chief 

Administrative Law Judge. 

 Amendments to Regulations Governing the Rules of Practice and Procedure for 

Dismissals of Action, Notice of Proposed Rulemaking, [Docket No. 14-12] (79 FR 

56546).

The Commission proposed to amend its rules governing dismissals of actions by 

complainants, by order of the presiding officer, and by respondents when complainant 

fails to prosecute to reflect its intent to adhere to its long-standing policy of reviewing 

settlements by adding language to clarify that when a voluntary dismissal is based on 

a settlement agreement, the agreement must be submitted for approval by the 

Commission.

 Requests for Testimony by Employees Relating to Official Information and 

Production of Official Records in Litigation, Direct Final Rule, [Docket No. 14-

03] (79 FR 243501).

The Commission promulgated regulations under Part 501 and 503 of the Commission’s 

regulations, adding procedures for the production of testimony or documents in legal 

proceedings when the Commission is not a party. The regulations, commonly called 

“Touhy” regulations, are named after the Supreme Court’s decision United States on 

behalf of Touhy v. Ragen. The regulations provide the procedure in dealing with 

information, and address how the Commission will procedurally respond to a subpoena 

or other request for testimony or documents that are served on a current or former 

employee. The Touhy regulations create a predictable procedure for the Commission 

to determine what testimony and documents should or should not be released under 

subpoena.
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Commission Decisions

In FY 2014, the Office of the Administrative Law Judges (OALJ) issued 10 initial decisions or 

orders subject to review by the Commission, including 2 dismissals. At the end of fiscal year 

2014, 6 formal proceedings were pending before the Administrative Law Judges. The Commission 

issued 14 final orders in formal docket complaint proceedings, 9 orders in small claims complaints, 

and 11 notices that they would not review the action of the settlement officer or ALJ. The 

following are representative of the cases heard before the Commission.1 

 Mitsui O.S.K. Lines Ltd. v. Global Link Logistics, Inc., Olympus Partners, L.P., 

Olympus Growth Fund III, L.P., Olympus Executive Fund, L.P., Louis J. 

Mischianti, David Cardenas, Keith Heffernan, CJR World Enterprises, Inc. and 

Chad J. Rosenberg [Docket No. 09-01].

On May 5, 2009, Mitsui filed a complaint alleging that Global Link, a licensed 

NVOCC, violated sections 10(a)(1) and 10(d)(1) by engaging in a practice it called 

“split routing” on multimodal shipments by issuing a bill of lading to a land carrier in 

the U.S., directing shipments to a destination other than the destination on the Mitsui 

through bill of lading. Mitsui alleged that as a result, Global Link used an unjust or 

unfair device or means to obtain ocean transportation for property at less than the rates 

or charges that would otherwise apply. The ALJ issued an initial decision finding that 

Mitsui knew about the split routing practice. Therefore, Global Link had not used an 

unfair device or means to obtain the lower rates. On January 30, 2014, the Commission 

served an Order Adopting Initial Decision, in which it affirmed the ALJ’s conclusion 

that Mitsui knew of and encouraged the practice of split routing, and that any losses 

Mitsui suffered were caused by its own actions. 

 Smart Garments v. Worldlink Logistics Services, Inc., [Docket No. 10-11], (FMC 

September 12, 2013); Bimsha International v. Chief Cargo Services, Inc. and Kaiser 

Apparel. Inc., 32 S.R.R. 1861 (FMC 2013); Yakov Kobel and Victor Berkov v. 

Hapag-Lloyd A.G., Hapag-Lloyd America, Inc., Limco Logistics, Inc., International 

TLC, Inc., [Docket No. 10-06] (FMC July 12, 2013).

In 2013 and 2014, Commission decided a series of cases that clarified the scope of 

section 10(d)(1) of the Shipping Act to include violations of the Act where a regulated 

entity fails in a single instance to observe and enforce just and reasonable practices. 

 Maher Terminals, Inc. v. The Port Authority of New York and New Jersey [Docket 

No. 08-03] and Maher Terminals, Inc., Third Party Counter-complainant, v. The 

Port Authority of New York and New Jersey, Third Party Counter-respondent 

[Docket No. 07-01].

Maher leases land and facilities at the Elizabeth Port Authority Marine Terminal from 

the Port Authority of New York and New Jersey (PANYNJ) for use as a marine 

 

1

Information on Commission proceedings, including procedural history and case documents, can be found in 

the electronic reading room on the Commission’s website. 
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terminal. On June 3, 2008, Maher filed a Complaint alleging that PANYNJ violated 

the Shipping Act, 46 U.S.C. §§ 41106(2) and (3) and § 41102(c), because PANYNJ 

(a) gave and continues to give an undue or unreasonable prejudice or disadvantage with 

respect to Maher as compared to APM Terminals North America, Inc. (APM), another 

marine terminal operator; (b) gave and continues to give an undue or unreasonable 

preference or advantage with respect to APM; (c) has and continues unreasonably to 

refuse to deal or negotiate with Maher; and (d) has and continues to fail to establish, 

observe, and enforce just and reasonable regulations and practices relating to or 

connected with receiving, handling, storing, or delivering property. On April 25, 2014, 

the administrative law judge issued an Initial Decision determining that PANYNJ did 

not violate the Act and dismissed Maher’s claims. On May 1, 2014, the Commission 

granted Maher’s motion to enlarge the time to file exceptions. The proceeding is 

currently pending before the Commission.

Litigation before Courts 

 The Auction Block Co. v. City of Homer, [Docket No. 12-03], United States Court 

of Appeals for Ninth Circuit.

On April 2, 2012, Complainants, the Auction Block Company (Auction Block) and 

Harbor Leasing, LLC (Harbor Leasing) filed a complaint with the Commission against 

Respondents, The City of Homer (City) and the Port of Homer (Port), alleging 

violations of the Shipping Act, 46 U.S.C. § 40101 et seq. Complainants alleged that the 

City and Port were Marine Terminal Operators (MTOs) that violated the Shipping Act 

through unreasonable prejudice or preference, refusal to deal, and unfair practices. 46 

U.S.C. §§ 41106(2)-(3), 41102(c). The dispute involves a lease between the City and 

Harbor Leasing, dated March 26, 2008, for terminal facilities utilized by Auction 

Block. Complainants alleged that the dispute centers around the lower rates charged to 

Icicle Seafood, Inc. under its lease with the City, and those charged to Auction Block 

under the terms of the tariff. 

In the May 20, 2013 Initial Decision, the ALJ dismissed all of Complainants’ claims 

against Respondents with prejudice, finding that the Commission lacked jurisdiction. 

On June 21, 2013, Complainants filed Exceptions to the ALJ’s conclusions of law and 

certain findings of fact and requested oral argument before the Commission on the 

Exceptions. On April 3, 2014 Oral Argument was held before the Commission and was 

limited to whether the Port is an MTO in connection with all dock/terminal areas 

including Fish Dock (the facility at issue), despite the fact that the terminal services in 

dispute do not involve common carriers. 

On August 12, 2014, the Commission upheld the Initial Decision of the Administrative 

Law Judge dismissing Auction Block’s complaint for lack of jurisdiction. On August 

22, 2014 the Action Block Company filed a Petition for Review of the Commission 

Order with the United States Court of Appeals for the Ninth Circuit. The Commission 

and the Department of Justice entered appearances in the case. The Court of Appeals 

granted leave for the City of Homer and the Port to intervene in the appeal. 
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 City of Chief Cargo Services, Inc. v. Federal Maritime Commission, [Docket No. 10-

08], United States Court of Appeals for the Second Circuit.

On November 1, 2013, Chief Cargo Services, Inc., filed a petition for review of the 

Commission’s Order in FMC Docket 10-08, Bimsha International v. Chief Cargo 

Services, Inc. & Kaiser Apparel, Inc., upholding the ALJ’s initial decision holding that 

by the release of three shipping containers, without requiring presentation of the 

original bills of lading, Chief Cargo failed to fulfill its obligations as a non-vesseloperating common carrier, thereby violating section 10(d)(1) of the Shipping Act. The 

ALJ also ordered Chief Cargo to “cease and desist releasing cargo without requiring 

presentation of an original bill of lading.” On April 24, 2014, Chief Cargo filed its 

Joint Appendix, Brief, and Special Appendix. Chief Cargo questioned the jurisdiction 

of the Commission to hear and adjudicate Bimsha’s claim of violations of the Shipping 

Act; argued that the Commission improperly found violations of the Shipping Act; and 

argued that the Commission improperly issued a cease and desist order. On June 20, 

2014, the Commission and the United States filed a joint brief. Oral Argument was 

held on September 30, 2014.
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APPENDICES

Appendix A: Resource Allocation by Program

Appendix B: FTEs and Positions Allocation by Program

Appendix C: Obligations by Object Class

Appendix D: Relationship of Obligations to Outlays

Appendix E: Performance Measures by Strategic Goals

Appendix F: Workload Summary

Appendix G: OIG Certification
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Appendix A: Resource Allocation by Program

Strategic Goal # 1 Strategic Goal # 2

Maintain an efficient and 

competitive international 

ocean transportation 

system

Protect the public from 

unlawful, unfair and 

deceptive practices and 

resolve shipping 

disputes

Formal Proceedings

 Office of the Chairman $391,956.78 $662,407.75 $178,250.22 $713,000.88 $891,251.10 $228,843.35

 Office of the Commissioners $1,719,539.39 $1,861,233.47 $380,897.79 $1,523,591.15 $1,904,488.94 $43,255.47

 Office of the Secretary $1,203,091.13 $1,351,256.90 $304,649.42 $1,088,033.65 $1,392,683.07 $41,426.17

 Li bra ry $207,121.65 $97,927.53 $48,138.77 $48,138.77 $96,277.54 ($1,649.99)

 Office of Consumer Affairs and Dispute 

Resolution Services $1,149,271.35 $1,156,765.87 $0.00 $1,227,883.56 $1,227,883.56 $71,117.69

 Office of the General Counsel $2,303,557.46 $2,179,699.17 $1,237,100.24 $1,237,100.24 $2,474,200.47 $294,501.30

 Ethics $0.00 $0.00 $0.00 $0.00 $0.00 $0.00

 Office of Administrative Law Judges $627,673.46 $790,757.10 $165,361.47 $661,445.87 $826,807.34 $36,050.24

Formal Proceedings Total $7,602,211.22 $8,100,047.79 $2,314,397.90 $6,499,194.11 $8,813,592.02 $713,544.23

Office of Equal Employment Opportunity $197,656.88 $191,115.81 $39,819.82 $159,279.30 $199,099.12 $7,983.31

Office of the Inspector General $420,587.00 $634,434.52 $263,818.75 $263,818.74 $527,637.49 ($106,797.03)

Operational and Administrative

 Office of the Managing Director $2,189,905.44 $1,943,094.20 $571,243.98 $1,506,006.86 $2,077,250.84 $134,156.64

 Bure a u of Tra de Ana l ys i s $2,688,184.21 $3,032,378.68 $1,993,516.78 $1,320,504.53 $3,314,021.31 $281,642.63

 Bure a u of Ce rti fi ca ti on a nd Li ce ns i ng $2,166,802.65 $2,340,377.06 $0.00 $2,592,679.85 $2,592,679.85 $252,302.79

 Burea u of Enforcement $1,797,788.59 $1,952,777.28 $0.00 $2,067,075.93 $2,067,075.93 $114,298.65

 Are a Re pre s e nta ti ve s $1,690,725.48 $1,957,339.96 $431,223.11 $1,724,892.45 $2,156,115.56 $198,775.60

 Offi ce of Informa ti on Technol ogy $4,000,897.49 $3,443,944.73 $637,385.05 $2,549,540.18 $3,186,925.23 ($257,019.50)

 Offi ce of Huma n Res ources $654,807.29 $619,618.96 $151,388.91 $605,555.64 $756,944.55 $137,325.59

 Office of Budget and Finance $714,669.49 $697,614.37 $437,068.32 $437,068.32 $874,136.64 $176,522.27

 Offi ce of Ma na ge me nt Se rvi ce s $526,553.70 $747,256.64 $410,760.74 $410,760.73 $821,521.47 $74,264.83

Operational and Administrative Total $16,430,334.34 $16,734,401.88 $4,632,586.88 $13,214,084.49 $17,846,671.38 $1,112,269.50

Totals $24,650,789.44 $25,660,000.00 $7,250,623.35 $20,136,376.65 $27,387,000.00 $1,727,000.00

The FY 2016 request does not include any future legislative changes that could vest the FMC with additional statutory responsibilities.

The Request by Strategic Goal and Program chart identifies the funding level requested for FY16 broken out by program office and strategic goal. The chart identifies FY16 

changes over both the FY14 actual and FY15 estimated funding requirements.

Resource Allocation by Program

FY 2016

Program/Office

FY 2014 

Actual

FY 2015 

Enacted

FY 2016 Request

FY 2016 

Request

Difference From 

FY 2015 
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

[28]

Appendix B: FTEs and Positions Allocation by Program

Program/Office FTEs Positions* FTEs Positions* FTEs Positions* FTEs Positions*

Headquarters 105.40 102.00 114.10 123.00 124.00 124.00 9.90 1.00

Area Representatives 7.56 9.00 9.90 11.00 11.00 11.00 1.10 0.00

Agency Total 112.96 111.00 124.00 134.00 135.00 135.00 11.00 1.00

Formal Proceedings

 Office of the Chairman 2.00 2.00 3.17 4.00 4.00 4.00 0.83 0.00

 Office of the Commissioners 7.07 8.00 8.00 8.00 8.00 8.00 0.00 0.00

 Office of the Secretary 7.00 7.00 7.95 8.00 8.00 8.00 0.05 0.00

 Library 0.86 0.00 0.00 0.00 0.00 0.00 0.00 0.00

 Office of Consumer Affairs and Dispute Resolution Services 7.89 8.00 6.63 7.00 7.00 7.00 0.37 0.00

 Office of the General Counsel 10.13 11.00 11.26 12.00 13.00 13.00 1.74 1.00

 Office of Administrative Law Judges 3.00 3.00 3.87 4.00 4.00 4.00 0.13 0.00

Formal Proceedings Total 37.95 39.00 40.88 43.00 44.00 44.00 3.12 1.00

Office of Equal Employment Opportunity 1.00 1.00 1.00 1.00 1.00 1.00 0.00 0.00

Office of the Inspector General 1.31 1.00 1.64 2.00 2.00 2.00 0.36 0.00

Operational and Administrative

 Office of the Managing Director 8.56 8.00 8.00 8.00 8.00 8.00 0.00 0.00

 Bureau of Trade Analysis

 Office of the Director 2.99 3.00 3.00 3.00 3.00 3.00 0.00 0.00

 Office of Service Contracts and Tariffs 3.00 3.00 3.95 4.00 4.00 4.00 0.05 0.00

 Office of Economics and Competition Analysis 6.35 6.00 6.99 8.00 8.00 8.00 1.01 0.00

 Office of Agreements 2.12 2.00 2.72 3.00 3.00 3.00 0.28 0.00

 Bureau of Certification and Licensing

 Office of the Director 2.46 2.00 2.45 3.00 3.00 3.00 0.55 0.00

 Office of Passenger Vessels and Information Processing 4.85 4.00 4.64 5.00 5.00 5.00 0.36 0.00

 Office of Transportation Intermediaries 7.00 7.00 8.28 9.00 9.00 9.00 0.72 0.00

 Bureau of Enforcement 9.29 9.00 10.51 11.00 11.00 11.00 0.49 0.00

 Area Representatives 7.56 9.00 9.90 11.00 11.00 11.00 1.10 0.00

 Office of Information Technology 7.38 7.00 7.76 8.00 8.00 8.00 0.24 0.00

 Office of Human Resources 3.96 3.00 4.05 5.00 5.00 5.00 0.95 0.00

 Office of Budget and Finance 4.29 4.00 4.14 5.00 5.00 5.00 0.86 0.00

 Office of Management Services 2.89 3.00 4.09 5.00 5.00 5.00 0.91 0.00

Operational and Administrative Total 72.70 70.00 80.48 88.00 88.00 88.00 7.52 0.00

Total FTEs and Positions 112.96 111.00 124.00 134.00 135.00 135.00 11.00 1.00

* Denotes positions on September 30.

Actual Enacted Request From FY 15

FTEs and Positions by Program

FY 2014 - FY 2016

FY 2014 FY 2015 FY 2016 Difference
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

[29]

Appendix C: Obligations by Object Class

FY 2014 FY2015 FY2016

Category Actual Enacted Request

 (11.1) Full-time Permanent Employees $ 13,351,840.08 $ 14,157,000.00 $ 15,406,000.00 $ 1,249,000.00

 (11.3) Part-time and Temporary Employees $ - $ 76,000.00 $ 90,000.00 $ 14,000.00

 (11.7) Performance Awards $ - $ - $ - $ -

 (12.1) Civilian Personnel Benefits $ 3,525,811.32 $ 3,940,000.00 $ 4,320,000.00 $ 380,000.00

Personnel Compensation and Benefits $ 16,877,651.40 $ 18,173,000.00 $ 19,816,000.00 $ 1,643,000.00

 (21.0) Travel and Transportation of Personnel $ 133,836.99 $ 200,000.00 $ 200,000.00 $ -

 (22.0) Transportation of Things (express mail) $ 14,275.11 $ 22,000.00 $ 22,000.00 $ -

 (23.1) Rental Payments to GSA $ 3,234,498.73 $ 3,323,000.00 $ 3,466,000.00 $ 143,000.00

 (23.5) Telephones (local, long distance and cellular) $ 289,883.92 $ 233,000.00 $ 233,000.00 $ -

 (23.8) Postage $ 6,479.48 $ 5,000.00 $ 5,000.00 $ -

 (24.0) Printing $ 140,590.00 $ 139,000.00 $ 139,000.00 $ -

 (25.1) Consulting $ 1,095,853.16 $ 992,000.00 $ 667,000.00 $ (325,000.00)

 (25.2) Purchase of Goods and Services from Commercial Accounts $ 788,281.18 $ 728,000.00 $ 849,000.00 $ 121,000.00

 (25.3) Purchase of Goods and Services from Government Accounts $ 1,112,162.40 $ 1,154,000.00 $ 1,303,000.00 $ 149,000.00

 (25.7) Equipment Maintenance $ 39,527.42 $ 50,000.00 $ 50,000.00 $ -

 (26.0) Supplies and Materials $ 97,081.61 $ 128,000.00 $ 128,000.00 $ -

 (31.0) Equipment (includes IT hardware and software) $ 820,668.04 $ 513,000.00 $ 509,000.00 $ (4,000.00)

Travel and Administrative Expenses $ 7,773,138.04 $ 7,487,000.00 $ 7,571,000.00 $ 84,000.00

Total Budget Authority $ 24,650,789.44 $ 25,660,000.00 $ 27,387,000.00 $ 1,727,000.00

The FY 2016 request does not include any future legislative changes that could vest the FMC with additional statutory responsibilities.

The Obligations by Object Class chart identifies the Commission's actual funding expenses of 2014, the estimated funding requirements for the FMC to complete 

its mission for FY15 and FY16 funding. Costs are reported by object codes.

Travel and Administrative Expenses

Obligations by Object Class

FY 2014 - FY 2016

Rent, Communications and Utilities

Personnel Compensation and Benefits

Difference From 

FY 2015
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

[30]

Appendix D: Relationship of Obligations to Outlays

Program

Formal Proceedings

Equal Employment Opportunity

Inspector General

Operational and Administrative

Unobligated

 Budget Authority

 Obligations

 Outlays*

 Outlay Rate (Obligation to Outlay)**

 Obligation Rate

Total outlays for fiscal year 2009 disbursed in fiscal year 2014

Total outlays for fiscal year 2010 disbursed in fiscal year 2014

Total outlays for fiscal year 2011 disbursed in fiscal year 2014

Total outlays for fiscal year 2012 disbursed in fiscal year 2014

Total outlays for fiscal year 2013 disbursed in fiscal year 2014

Total outlays for fiscal year 2014

 Outlays

* Represents Outlays for FY 2014 only.

** Represents the percentage of FY 2014 obligations that were disbursed during FY 2014.

$16,430,334.33 $16,734,000.00 $17,847,000.00

86.43% 86.43% 86.43%

$18,210.56 $0.00 $0.00

$24,669,000.00 $25,660,000.00 $27,387,000.00

$24,650,789.44

$7,602,211.23 $8,100,000.00 $8,813,000.00

Relationship of Obligations to Outlays

FY 2014 - FY 2016

FY 2014 

Actual

FY 2015 

Enacted

FY 2016 

Request

$197,656.88 $191,000.00 $199,000.00

$420,587.00 $635,000.00 $528,000.00

$23,670,958.28

99.93% 100.00% 98.90%

$25,660,000.00 $27,086,000.00

The FY 2016 request does not include any future legislative changes that could vest the FMC with additional statutory 

responsibilities.

The Relationship of Obligations to Outlays identifies the actual outlay percentage for FY14. The chart also depicts the 

estimated outlay in expenses for FY15 and FY16.

$0.00

$5,071.29

$28.27

$22,842,968.41

$237,293.69

$1,294,561.05

$21,306,014.11

Gross Outlays for FY 2014

$21,306,014.11 $22,178,288.59
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

[31]

Appendix E: Performance Measures by Strategic Goals

Strategic Goals Objective Performance Measures 2012 

Actual

2013 

Actual

2014 

Actual

2015 

Target

2016 

Target

2017 

Target

2018 

Target

STRATEGIC GOAL 1: 

Maintain an efficient 

and competitive 

international ocean 

transportation system.

OBJECTIVE 1: 

Enhance efficiency 

in the trades 

through the use of 

asset sharing 

authority under the 

Shipping Act of 

1984.

Percentage share of U.S. 

containerized cargo 

moving on other 

agreement parties’ 

vessels in major U.S. 

trades.

N/A2 N/A 45.6% 40% 40.5% 41% 41.5%

STRATEGIC GOAL 2: 

Protect the public 

from unlawful, unfair 

and deceptive ocean 

transportation 

practices and resolve 

shipping disputes.

OBJECTIVE 1: 

Identify and take 

action to end 

unlawful, unfair, 

and deceptive 

practices.

Percentage of 

enforcement actions 

taken under the Shipping 

Act of 1984 successfully 

resolved through 

favorable judgment, 

settlement, issuance of 

default judgment, or 

compliance letter or 

notice.

88% 78.9% 83.8% 77% 77.5% 77.5% 77.5%

OBJECTIVE 2: 

Prevent public 

harm through 

licensing and 

financial 

responsibility 

requirements.

Percentage of decisions 

on completed OTI license 

applications rendered 

within 60 calendar days of 

receipt, facilitating lawful 

operation of OTIs with the 

appropriate character and 

experience.

90.2% 87.6% 71.3% 75% 75% 75% 75%

Percentage of cruise line 

operators examined 

during the year that have 

the full financial coverage 

required by regulation to 

protect against loss from 

non-performance or 

casualty.

100% 100% 96.7% 95% 95% 95% 95%

OBJECTIVE 3: 

Enhance public 

awareness of 

agency resources, 

remedies and 

regulatory 

requirements 

through education 

and outreach. 

Percentage of key 

Commission issuances, 

orders and reports are 

available through the 

Commission’s website 

within 5 working days of 

receipt.

79% 86% 93% 78% 80% 82% 84%

OBJECTIVE 4: 

Impartially resolve 

international 

shipping disputes 

through alternative 

dispute resolution 

and adjudication.

Number of cases opened 

and closed each fiscal 

year using ombuds and 

ADR services assisting 

consumers to recover 

goods or funds.

893 800 994 825 825 850 850

Percentage of formal 

complaints or 

Commission initiated 

orders of investigation 

completed within two 

years of filing or 

Commission initiation.

73% 91% 88% 58% 60% 62% 64%

 

2

 This new measure was developed for FY 2014 and there is no actual 2012-2013 performance data.
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

[32]

Appendix F: Workload Summary

Workload Summary

Workload Category On Hand 

9/30/2013

FY 2014 Actual FY 2015 Estimate FY 2016 Estimate

Received Output Received Output Received Output

Formal Proceedings (ALJ) 11 7 10 10 10 10 10

Decisions, Reports, in Docketed Proceedings Before 

the Commission 15 26 35 35 35 35 35

Federal Register Notices 0 139 139 140 140 140 140

FOIA Requests 18 41 43 25 20 25 25

OMBUDS 680 1,024 1,664 700 700 750 750

ADR Matters 2 9 9 4 10 10 10

Legislation 0 110 110 125 125 130 130

Legal Opinions, Recommendations, Case 

Summaries, Decisions and Final Orders 5 174 174 145 145 140 140

Audits and Monitoring Activities 10 124 120 120 124 130 130

OTI Applicant and License Checks 0 615 615 645 645 650 650

Formal Proceedings (BOE) 3 4 4 4 5 6 6

Civil Penalty Cases 13 15 18 20 22 25 25

Agreements Filed 11 186 193 155 160 150 150

Agreement Reports 104 1,402 1,402 1,485 1,485 1,485 1,485

Service Contracts 0 44,208 44,208 51,000 51,000 52,000 52,000

Service Contract Amendments 0 573,208 573,208 558,000 558,000 560,000 560,000

NVOCC Service Arrangements 0 1,583 1,583 1,635 1,635 1,645 1,645

Arrangement Amendments 0 1,864 1,864 2,025 2,025 2,035 2,035

FMC-1 Form 0 1,327 1,327 1,375 1,375 1,400 1,400

OTI Applications – NEW 52 367 232 385 325 395 330

OTI Business Change Applications 13 256 107 268 240 278 245

OTI License Terminations 0 357 357 370 370 375 375

Passenger Vessel Applications (Performance) 0 9 9 17 17 18 18

Passenger Vessel Applications (Casualty) 1 11 11 17 17 18 18
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

[33]

Appendix G: OIG Certification
Fiscal Year 2016 Budget Estimates submitted to the Appropriations Subcommittees

[34]