charges applicable under a tariff and assessed against the cargo on 
which the services of the ocean freight forwarder are provided. 
‘‘CHAPTER 411—PROHIBITIONS AND PENALTIES 
‘‘Sec. 
‘‘41101.
Joint ventures and consortiums. 
‘‘41102.
General prohibitions. 
‘‘41103.
Disclosure of information. 
‘‘41104.
Common carriers. 
‘‘41105.
Concerted action. 
‘‘41106.
Marine terminal operators. 
‘‘41107.
Monetary penalties. 
‘‘41108.
Additional penalties. 
‘‘41109.
Assessment of penalties. 
‘‘§ 41101. Joint ventures and consortiums 
‘‘In this chapter, a joint venture or consortium of two or more common 
carriers operating as a single entity is deemed to be a single common car-
rier. 
‘‘§ 41102. General prohibitions 
‘‘(a) OBTAINING
TRANSPORTATION
AT
LESS
THAN
APPLICABLE 
RATES.—A person may not knowingly and willfully, directly or indirectly, 
by means of false billing, false classification, false weighing, false report of 
weight, false measurement, or any other unjust or unfair device or means, 
obtain or attempt to obtain ocean transportation for property at less than 
the rates or charges that would otherwise apply. 
‘‘(b) OPERATING CONTRARY TO AGREEMENT.—A person may not operate 
under an agreement required to be filed under section 40302 or 40305 of 
this title if— 
‘‘(1) the agreement has not become effective under section 40304 of 
this title or has been rejected, disapproved, or canceled; or 
‘‘(2) the operation is not in accordance with the terms of the agree-
ment or any modifications to the agreement made by the Federal Mari-
time Commission. 
‘‘(c) PRACTICES IN HANDLING PROPERTY.—A common carrier, marine 
terminal operator, or ocean transportation intermediary may not fail to es-
tablish, observe, and enforce just and reasonable regulations and practices 
relating to or connected with receiving, handling, storing, or delivering prop-
erty. 
‘‘§ 41103. Disclosure of information 
‘‘(a) PROHIBITION.—A common carrier, marine terminal operator, or 
ocean freight forwarder, either alone or in conjunction with any other per-
son, directly or indirectly, may not knowingly disclose, offer, solicit, or re-
ceive any information concerning the nature, kind, quantity, destination, 
consignee, or routing of any property tendered or delivered to a common 
carrier, without the consent of the shipper or consignee, if the informa-
tion— 
VerDate Aug 31 2005 
02:33 Sep 08, 2006
Jkt 049006
PO 00000
Frm 00066
Fmt 6652
Sfmt 6221
E:\BILLS\H1442.RS
H1442
pwalker on PRODPC60 with BILLS
‘‘(1) may be used to the detriment or prejudice of the shipper, the 
consignee, or any common carrier; or 
‘‘(2) may improperly disclose its business transaction to a compet-
itor. 
‘‘(b) EXCEPTIONS.—Subsection (a) does not prevent providing the infor-
mation— 
‘‘(1) in response to legal process; 
‘‘(2) to the Federal Maritime Commission or an agency of the 
United States Government; or 
‘‘(3) to an independent neutral body operating within the scope of 
its authority to fulfill the policing obligations of the parties to an agree-
ment effective under this part. 
‘‘(c) DISCLOSURE FOR DETERMINING BREACH OR COMPILING STATIS-
TICS.—An ocean common carrier that is a party to a conference agreement 
approved under this part, a receiver, trustee, lessee, agent, or employee of 
the carrier, or any other person authorized by the carrier to receive informa-
tion— 
‘‘(1) may give information to the conference or any person or agency 
designated by the conference, for the purpose of— 
‘‘(A) determining whether a shipper or consignee has breached 
an agreement with the conference or its member lines; 
‘‘(B) determining whether a member of the conference has 
breached the conference agreement; or 
‘‘(C) compiling statistics of cargo movement; and 
‘‘(2) may not prevent the conference or its designee from soliciting 
or receiving information for any of those purposes. 
‘‘§ 41104. Common carriers 
‘‘A common carrier, either alone or in conjunction with any other person, 
directly or indirectly, may not— 
‘‘(1) allow a person to obtain transportation for property at less than 
the rates or charges established by the carrier in its tariff or service 
contract by means of false billing, false classification, false weighing, 
false measurement, or any other unjust or unfair device or means; 
‘‘(2) provide service in the liner trade that is— 
‘‘(A) not in accordance with the rates, charges, classifications, 
rules, and practices contained in a tariff published or a service 
contract entered into under chapter 405 of this title, unless ex-
cepted or exempted under section 40103 or 40501(a)(2) of this 
title; or 
VerDate Aug 31 2005 
02:33 Sep 08, 2006
Jkt 049006
PO 00000
Frm 00067
Fmt 6652
Sfmt 6221
E:\BILLS\H1442.RS
H1442
pwalker on PRODPC60 with BILLS
‘‘(B) under a tariff or service contract that has been suspended 
or prohibited by the Federal Maritime Commission under chapter 
407 or 423 of this title; 
‘‘(3) retaliate against a shipper by refusing, or threatening to refuse, 
cargo space accommodations when available, or resort to other unfair 
or unjustly discriminatory methods because the shipper has patronized 
another carrier, or has filed a complaint, or for any other reason; 
‘‘(4) for service pursuant to a tariff, engage in any unfair or unjustly 
discriminatory practice in the matter of— 
‘‘(A) rates or charges; 
‘‘(B) cargo classifications; 
‘‘(C) cargo space accommodations or other facilities, with due 
regard being given to the proper loading of the vessel and the 
available tonnage; 
‘‘(D) loading and landing of freight; or 
‘‘(E) adjustment and settlement of claims; 
‘‘(5) for service pursuant to a service contract, engage in any unfair 
or unjustly discriminatory practice in the matter of rates or charges 
with respect to any port; 
‘‘(6) use a vessel in a particular trade for the purpose of excluding, 
preventing, or reducing competition by driving another ocean common 
carrier out of that trade; 
‘‘(7) offer or pay any deferred rebates; 
‘‘(8) for service pursuant to a tariff, give any undue or unreasonable 
preference or advantage or impose any undue or unreasonable prejudice 
or disadvantage; 
‘‘(9) for service pursuant to a service contract, give any undue or 
unreasonable preference or advantage or impose any undue or unrea-
sonable prejudice or disadvantage with respect to any port; 
‘‘(10) unreasonably refuse to deal or negotiate; 
‘‘(11) knowingly and willfully accept cargo from or transport cargo 
for the account of an ocean transportation intermediary that does not 
have a tariff as required by section 40501 of this title and a bond, in-
surance, or other surety as required by section 40902 of this title; or 
‘‘(12) knowingly and willfully enter into a service contract with an 
ocean transportation intermediary that does not have a tariff as re-
quired by section 40501 of this title and a bond, insurance, or other 
surety as required by section 40902 of this title, or with an affiliate 
of such an ocean transportation intermediary. 
‘‘§ 41105. Concerted action 
‘‘A conference or group of two or more common carriers may not— 
VerDate Aug 31 2005 
02:33 Sep 08, 2006
Jkt 049006
PO 00000
Frm 00068
Fmt 6652
Sfmt 6221
E:\BILLS\H1442.RS
H1442
pwalker on PRODPC60 with BILLS
‘‘(1) boycott or take any other concerted action resulting in an un-
reasonable refusal to deal; 
‘‘(2) engage in conduct that unreasonably restricts the use of inter-
modal services or technological innovations; 
‘‘(3) engage in any predatory practice designed to eliminate the par-
ticipation, or deny the entry, in a particular trade of a common carrier 
not a member of the conference, a group of common carriers, an ocean 
tramp, or a bulk carrier; 
‘‘(4) negotiate with a non-ocean carrier or group of non-ocean car-
riers (such as truck, rail, or air operators) on any matter relating to 
rates or services provided to ocean common carriers within the United 
States by those non-ocean carriers, unless the negotiations and any re-
sulting agreements are not in violation of the antitrust laws and are 
consistent with the purposes of this part, except that this paragraph 
does not prohibit the setting and publishing of a joint through rate by 
a conference, joint venture, or association of ocean common carriers; 
‘‘(5) deny in the export foreign commerce of the United States com-
pensation to an ocean freight forwarder or limit that compensation to 
less than a reasonable amount; 
‘‘(6) allocate shippers among specific carriers that are parties to the 
agreement or prohibit a carrier that is a party to the agreement from 
soliciting cargo from a particular shipper, except as— 
‘‘(A) authorized by section 40303(d) of this title; 
‘‘(B) required by the law of the United States or the importing 
or exporting country; or 
‘‘(C) agreed to by a shipper in a service contract; 
‘‘(7) for service pursuant to a service contract, engage in any un-
justly discriminatory practice in the matter of rates or charges with re-
spect to any locality, port, or person due to the person’s status as a 
shippers’ association or ocean transportation intermediary; or 
‘‘(8) for service pursuant to a service contract, give any undue or 
unreasonable preference or advantage or impose any undue or unrea-
sonable prejudice or disadvantage with respect to any locality, port, or 
person due to the person’s status as a shippers’ association or ocean 
transportation intermediary. 
‘‘§ 41106. Marine terminal operators 
‘‘A marine terminal operator may not— 
‘‘(1) agree with another marine terminal operator or with a common 
carrier to boycott, or unreasonably discriminate in the provision of ter-
minal services to, a common carrier or ocean tramp; 
VerDate Aug 31 2005 
02:33 Sep 08, 2006
Jkt 049006
PO 00000
Frm 00069
Fmt 6652
Sfmt 6221
E:\BILLS\H1442.RS
H1442
pwalker on PRODPC60 with BILLS