Monitoring Report Instructions

 All agreements between or among ocean common carriers identified in 46 CFR 

535.702(a) must submit completed Monitoring Reports to the full extent required in 

sections I through III of this Report. Sections I and II must be completed, as applicable, 

in accordance with the authority contained in each agreement. Section III must be 

completed by all agreements subject to Monitoring Report requirements. 

Where an agreement containing multiple authorities is subject to duplicate reporting 

requirements in the various sections of this Report, the parties may provide only one 

response so long as the reporting requirements within each section are fully addressed. 

The Monitoring Report specifies the data and information which must be reported for 

each section and the format in which it must be provided. If a party to an agreement is 

unable to supply a complete response to any item of this Report, that party shall provide 

either estimated data (with an explanation of why precise data are not available) or a 

detailed statement of reasons for noncompliance and the efforts made to obtain the 

required information. For purposes of this Report, if one of the agreement signatories is a 

joint service operating under an effective agreement, that signatory shall respond to the 

Report as a single agreement party. 

For clarification of the agreement terminology used in this Report, the parties may refer 

to the definitions provided in 46 CFR 535.104. In addition, the following definitions shall 

apply for purposes of this Report: liner movement means the carriage of liner cargo by 

liner operators; liner cargo means cargo carried on liner vessels in a liner service; liner 

operator means a vessel-operating common carrier engaged in liner service; liner vessel

means a vessel used in a liner service; liner service means a definite, advertised schedule 

of sailings at regular intervals; and TEU means a unit of measurement equivalent to one 

20-foot shipping container. Further, when used in this Report, the terms "entire 

geographic scope of the agreement" or "agreement-wide" refer to the combined U.S. 

inbound trade and/or the combined U.S. outbound trade as such trades apply to the 

geographic scope of the agreement, as opposed to the term "sub-trade," which is defined 

for reporting purposes as the scope of all liner movements between each U.S. port range 

and each foreign country within the scope of the agreement. Whether required on a 

combined trade basis or a sub-trade basis, the U.S. inbound trade (or sub-trades) and the 

U.S. outbound trade (or sub-trades) shall always be stated separately. 

Section I 

Section I applies to agreements, identified in 46 CFR 535.702(a)(1), that contain the 

authority to discuss or agree on capacity rationalization as defined in 46 CFR 535.104(e). 

Parties to such agreements must complete parts 1 through 3 of this section. 

Part 1 

State the full name of the agreement and the agreement number assigned by the FMC. 
Part 2(A) 

For the preceding calendar quarter, provide the amount of vessel capacity for each party 

for each of its liner services that is covered by the agreement within the entire geographic 

scope of the agreement, stated separately for the U.S. inbound and outbound trades as 

applicable to the geographic scope of the agreement. For purposes of this Report, vessel 

capacity means a party’s total commercial liner space on line-haul vessels, whether 

operated by it or other parties from whom space is obtained, sailing to and/or from the 

continent of North America for each of its liner services that is covered by the agreement. 

When 50 percent or more of the total liner cargo carried by all the parties in the 

geographic scope of the agreement during the calendar quarter was containerized, the 

amount(s) of vessel capacity for each party shall be reported in TEUs. When 50 percent 

or more of the total liner cargo carried by all the parties in the geographic scope of the 

agreement during the calendar quarter was non-containerized, the amount(s) of vessel 

capacity for each party shall be reported in non-containerized units of measurement. The 

unit of measurement used in calculating the amounts of non-containerized vessel capacity 

must be specified clearly and consistently applied. 

Part 2(B) 

For the preceding calendar quarter, provide the percentage of vessel capacity utilization 

for each party for each of its liner services that is covered by the agreement within the 

entire geographic scope of the agreement, corresponding to the figures used in part 2(A) 

of this section, stated separately for the U.S. inbound and outbound trades as applicable 

to the geographic scope of the agreement. For purposes of this Report, the percentage of 

vessel capacity utilization means a party’s total volume of liner cargo, for each of its liner 

services that is covered by the agreement, carried on any vessel space counted under part 

2(A) of this section, divided by its total vessel capacity as defined and derived in part 

2(A) of this section, which quotient is multiplied by 100. 

Part 2(C) 

Provide a narrative statement on any significant reductions, to be implemented under the 

agreement, in the amounts of vessel capacity for the parties’ liner services that are 

covered by the agreement within the entire geographic scope of the agreement. 

Specifically, explain the nature of and the reasons for the significant reduction and its 

effects on the liner service and the total amount of vessel capacity for such service that 

would be subject to the reduction. The narrative statement for part 2(C) of this section 

shall be submitted to the Director, Bureau of Trade Analysis, no later than 15 days after a 

significant reduction in the amount of vessel capacity has been agreed upon by the parties 

but prior to the implementation of the actual reduction under the agreement. For purposes 

of this part, a significant reduction refers to the removal from a liner service of vessels or 

vessel space for a fixed, seasonally planned, or indefinite period of time. A significant 

reduction excludes instances when vessels may be temporarily repositioned or shifted 

from one service to another, or when vessel space may be temporarily altered, or when 
vessels are removed from a liner service and vessels of similar or greater capacity are 

substituted. It also excludes operational changes in vessels or vessel space that would 

have little or no impact on the amount of vessel capacity offered in a liner service or a 

trade. 

Part 2(D) 

Excluding those changes already reported in part 2(C) of this section, provide a narrative 

statement on any other significant changes, implemented under the agreement during the 

preceding calendar quarter, in the amounts of vessel capacity for the parties’ liner 

services that are covered by the agreement within the entire geographic scope of the 

agreement. Specifically, explain the nature of and the reasons for the significant change 

and its effects on the liner service and the total amount of vessel capacity for such service 

that was subject to the change. For purposes of this part, a significant change refers to the 

addition to a liner service of vessels or vessel space for a fixed, seasonally planned, or 

indefinite period of time. A significant change excludes instances when vessels were 

temporarily repositioned or shifted from one service to another, or when vessel space was 

temporarily altered, or when vessels were removed from a liner service and vessels of 

similar capacity were substituted. It also excludes operational changes in vessels or vessel 

space that had little or no impact on the amount of vessel capacity offered in a liner 

service or a trade. If no significant change was implemented, it shall be noted with the 

term "none" in response to part 2(D) of this section. 

Part 3 

Provide a narrative statement on any significant changes, implemented under the 

agreement during the calendar quarter, in the number of vessel calls at a port for the 

parties’ liner services that are covered by the agreement within the entire geographic 

scope of the agreement. Specifically, explain the nature of the significant change and its 

effect on the frequency of vessel calls at the port for the liner service that was subject to 

the change. For purposes of this part, a significant change refers to an increase or a 

decrease in the number of vessel calls at a port for a fixed, seasonally planned, or 

indefinite period of time. A significant change excludes an incidental or temporary 

alteration in the number of vessel calls at a port, or an operational change in vessel calls 

that had little or no impact on the number of vessel calls at a port. If no significant change 

was implemented, it shall be noted with the term "none" in response to part 3 of this 

section. 

Section II 

Section II applies to agreements, identified in 46 CFR 535.702(a)(2), where the parties to 

the agreement hold a combined market share, based on cargo volume, of 35 percent or 

more in the entire U.S. inbound or outbound geographic scope of the agreement and the 

agreement contains any of the following authorities: (a) the discussion of, or agreement 

upon, whether on a binding basis under a common tariff or a non-binding basis, any kind 

of rate or charge; (b) the establishment of a joint service; (c) the pooling or division of 
cargo traffic, earnings, or revenues and/or losses; or (d) the discussion of, or agreement 

on, any service contract matter. Parties to such agreements must complete parts 1 through 

6 of this section. 

Part 1 

State the full name of the agreement and the agreement number assigned by the FMC. 

Part 2 

For the preceding calendar quarter, provide the market shares of all liner operators for the 

entire geographic scope of the agreement and in each sub-trade within the scope of the 

agreement. A joint service shall be treated as a single liner operator, whether it is an 

agreement line or a non-agreement line. Sub-trade is defined as the scope of all liner 

movements between each U.S. port range within the scope of the agreement and each 

foreign country within the scope of the agreement. Where the agreement covers both U.S. 

inbound and outbound liner movements, inbound and outbound market shares shall be 

shown separately. 

U.S. port ranges are defined as follows: 

Atlantic and Gulf -- Includes ports along the eastern seaboard and the Gulf of Mexico 

from the northern boundary of Maine to Brownsville, Texas. Also includes all ports 

bordering upon the Great Lakes and their connecting waterways, all ports in the State of 

New York on the St. Lawrence River, and all ports in Puerto Rico and the U.S. Virgin 

Islands. 

Pacific -- Includes all ports in the States of Alaska, Hawaii, California, Oregon, and 

Washington. Also includes all ports in Guam, American Samoa, Northern Marianas, 

Johnston Island, Midway Island, and Wake Island. 

An application may be filed for a waiver of the definition of "sub-trade" under the 

procedures described in 46 CFR 535.705. In any such application, the burden shall be on 

the parties to show that their marketing and pricing practices have been done by 

ascertainable multi-country regions rather than by individual countries or, in the case of 

the United States, by broader areas than the port ranges defined herein. The Commission 

will also consider whether the alternative definition of "sub-trade" requested by the 

waiver application is reasonably consistent with the definition of "sub-trade" applied in 

the original Information Form for the agreement. 

The formula for calculating market share in the entire agreement scope or in a sub-trade 

is as follows: The total amount of liner cargo carried on each liner operator's liner vessels 

in the entire agreement scope or in the sub-trade during the most recent calendar quarter 

for which complete data are available, divided by the total liner movements in the entire 

agreement scope or in the sub-trade during the same calendar quarter, which quotient is 
multiplied by 100. The market shares held by non-agreement lines as well as by 

agreement lines must be provided, stated separately in the format indicated. 

If 50 percent or more of the total liner cargo carried by the parties in the entire agreement 

scope during the calendar quarter was containerized, only containerized liner movements 

(measured in TEUs) must be used for determining market share. If 50 percent or more of 

the total liner cargo carried by the parties was non-containerized, only non-containerized 

liner movements must be used for determining market share. The unit of measurement 

used in calculating amounts of non-containerized cargo must be specified clearly and 

applied consistently. 

Part 3 

For the preceding calendar quarter, provide each party’s total liner revenues in the entire 

geographic scope of the agreement, total liner cargo carried in the entire geographic 

scope of the agreement, and average revenue. For purposes of this Report, total liner 

revenues means the total revenues, in U.S. dollars, of each party corresponding to its total 

cargo carried for its liner services that fall under the agreement, inclusive of all ocean 

freight charges, whether assessed on a port-to-port basis or a through intermodal basis; 

accessorial charges; surcharges; and charges for inland cargo carriage. Average revenue 

shall be calculated as the quotient of each party’s total liner revenues in the entire 

geographic scope divided by its total cargo carried in the entire geographic scope. 

When 50 percent or more of the total liner cargo carried by all the parties in the 

geographic scope of the agreement during the calendar quarter was containerized, each 

party shall report only its total carryings of containerized liner cargo (measured in TEUs) 

during the calendar quarter, total revenues generated by its carriage of containerized liner 

cargo, and average revenue per TEU. When 50 percent or more of the total liner cargo 

carried by all the parties in the geographic scope of the agreement during the calendar 

quarter was non-containerized, each party shall report only its total carryings of noncontainerized liner cargo during the calendar quarter (specifying the unit of measurement 

used), total revenues generated by its carriage of non-containerized liner cargo, and 

average revenue per unit of measurement. When the agreement covers both U.S. inbound 

and outbound liner movements, inbound and outbound data shall be stated separately. 

Part 4(A) 

For the preceding calendar quarter, provide a list, for the entire geographic scope of the 

agreement, of the top 10 liner commodities (including commodities not subject to tariff 

publication) carried by all the parties for their liner services that fall under the agreement. 

For purposes of this Report, commodities shall be identified at the 4-digit level of 

customarily used commodity coding schedules. When 50 percent or more of the total 

liner cargo carried by all the parties in the geographic scope of the agreement during the 

calendar quarter was containerized, this list shall include only containerized commodities. 

When 50 percent or more of the total liner cargo carried by all the parties in the 

geographic scope of the agreement during the calendar quarter was non-containerized, 
this list shall include only non-containerized commodities. When the agreement covers 

both U.S. inbound and outbound liner movements, inbound and outbound data shall be 

stated separately. 

Part 4(B) 

For the preceding calendar quarter, provide the cargo volume and revenue results for each 

party for each of the major commodities listed in part 4(A) of this section, corresponding 

to the same unit of measurement used. For purposes of this Report, revenue results means 

the revenues, in U.S. dollars, earned by each party on the cargo volume of each major 

commodity listed in part 4(A) of this section, inclusive of all ocean freight charges, 

whether assessed on a port-to-port basis or a through intermodal basis; accessorial 

charges; surcharges; and charges for inland cargo carriage. If a party has no cargo volume 

and revenue results for a commodity listed in part 4(A) of this section, it shall be noted by 

using a zero for that party in response to part 4(B) of this section. 

Part 5(A) 

For the preceding calendar quarter, provide the amount of vessel capacity for each party 

for each of its liner services that falls under the agreement within the entire geographic 

scope of the agreement, stated separately for the U.S. inbound and outbound trades as 

applicable to the geographic scope of the agreement. For purposes of this Report, vessel 

capacity means a party’s total commercial liner space on line-haul vessels, whether 

operated by it or other parties from whom space is obtained, sailing to and/or from the 

continent of North America for each of its liner services that falls under the agreement. 

When 50 percent or more of the total liner cargo carried by all the parties in the 

geographic scope of the agreement during the calendar quarter was containerized, the 

amount(s) of vessel capacity for each party shall be reported in TEUs. When 50 percent 

or more of the total liner cargo carried by all the parties in the geographic scope of the 

agreement during the calendar quarter was non-containerized, the amount(s) of vessel 

capacity for each party shall be reported in non-containerized units of measurement. The 

unit of measurement used in calculating the amounts of non-containerized vessel capacity 

must be specified clearly and consistently applied. 

Part 5(B) 

For the preceding calendar quarter, provide the percentage of vessel capacity utilization 

for each party for each of its liner services that falls under the agreement within the entire 

geographic scope of the agreement, corresponding to the figures used in part 5(A) of this 

section, stated separately for the U.S. inbound and outbound trades as applicable to the 

geographic scope of the agreement. For purposes of this Report, the percentage of vessel 

capacity utilization means a party’s total volume of liner cargo, for each of its liner 

services that falls under the agreement, carried on any vessel space counted under part 

5(A) of this section, divided by its total vessel capacity as defined and derived in part 

5(A) of this section, which quotient is multiplied by 100. 
Part 5(C) 

Provide a narrative statement on any significant changes in the amount of vessel capacity 

that occurred during the preceding calendar quarter for the parties’ liner services that fall 

under the agreement within the entire geographic scope of the agreement. Specifically, 

explain the nature of and the reasons for the significant change and its effects on the liner 

service and the total amount of vessel capacity for such service that was subject to the 

change. For purposes of this part, a significant change refers to the removal from or 

addition to a liner service of vessels or vessel space for a fixed, seasonally planned, or 

indefinite period of time. A significant change would exclude instances when vessels 

were temporarily repositioned or shifted from one service to another, or when vessel 

space was temporarily altered, or when vessels were removed from a liner service and 

vessels of similar capacity were substituted. It also excludes operational changes in 

vessels and vessel space that had little or no impact on the amount of vessel capacity 

offered in a liner service or a trade. If no significant change occurred during the calendar 

quarter, it shall be noted with the term "none" in response to part 5(C) of this section. 

Part 6 

Provide a narrative statement on any significant changes in the number of vessel calls at a 

port that occurred during the preceding calendar quarter for the parties’ liner services that 

fall under the agreement within the entire geographic scope of the agreement. 

Specifically, explain the nature of the significant change and its effect on the frequency 

of vessel calls at the port for the liner service that was subject to the change. For purposes 

of this part, a significant change refers to an increase or a decrease in the number of 

vessel calls at a port for a fixed, seasonally planned, or indefinite period of time. A 

significant change excludes an incidental or temporary alteration in the number of vessel 

calls at a port, or an operational change in vessel calls that had little or no impact on the 

number of vessel calls at a port. If no significant change occurred during the calendar 

quarter, it shall be noted with the term "none" in response to part 6 of this section. 

Section III 

Section III applies to all agreements identified in 46 CFR 535.702(a). Parties to such 

agreements must complete all items in part 1 of this section. 

Part 1(A) 

State the name, title, address, telephone and fax numbers, and electronic mail address of a 

person the Commission may contact regarding the Monitoring Report and any 

information provided therein. 

Part 1(B) 

A representative of the parties shall sign the Monitoring Report and certify that the 

information in the Report and all attachments and appendices are, to the best of his or her 
knowledge, true, correct and complete. The representative also shall indicate his or her 

relationship with the parties to the agreement. 

Privacy Act and Paperwork Reduction Act Notice. 

The collection of this information is authorized generally by section 15 of the Shipping 

Act of 1984, 46 U.S.C. app. § 1714. The submission of this form is mandatory for parties 

to agreements that contain certain authorities. 

You are not required to provide information requested on a form that is subject to the 

Paperwork Reduction Act unless the form displays a valid OMB control number. The 

valid control number for this information collection is 3072-0045. 

The time needed to complete and submit this form will vary depending on individual 

circumstances. The total estimated average time to complete this form is about 63.5 

hours. This estimate includes reading the instructions, collecting necessary data, and 

compiling that data. 

If you have any comments concerning the accuracy of the above estimate or have any 

suggestions for simplifying the form, please contact Secretary, Federal Maritime 

Commission, 800 North Capitol Street, NW, Washington, DC 20573-0001; or by email: 

secretary@fmc.gov.