‘‘(8) the liquidated damages for nonperformance, if any. 
‘‘(d) PUBLICATION OF CERTAIN TERMS.—When a service contract is filed 
confidentially with the Commission, a concise statement of the essential 
terms specified in paragraphs (1), (3), (4), and (6) of subsection (c) shall 
be published and made available to the general public in tariff format. 
‘‘(e) DISCLOSURE OF CERTAIN TERMS.— 
‘‘(1) DEFINITIONS.—In this subsection, the terms ‘dock area’ and 
‘within the port area’ have the same meaning and scope as in the appli-
cable collective bargaining agreement between the requesting labor or-
ganization and the carrier. 
‘‘(2) DISCLOSURE.—An ocean common carrier that is a party to or 
is otherwise subject to a collective bargaining agreement with a labor 
organization shall, in response to a written request by the labor organi-
zation, state whether it is responsible for the following work at a dock 
area or within a port area in the United States with respect to cargo 
transportation under a service contract: 
‘‘(A) The movement of the shipper’s cargo on a dock area or 
within the port area or to or from railroad cars on a dock area 
or within the port area. 
‘‘(B) The assignment of intraport carriage of the shipper’s 
cargo between areas on a dock or within the port area. 
‘‘(C) The assignment of the carriage of the shipper’s cargo be-
tween a container yard on a dock area or within the port area and 
a rail yard adjacent to the container yard. 
‘‘(D) The assignment of container freight station work and con-
tainer maintenance and repair work performed at a dock area or 
within the port area. 
‘‘(3) WITHIN REASONABLE TIME.—The common carrier shall provide 
the information described in paragraph (2) to the requesting labor or-
ganization within a reasonable period of time. 
‘‘(4) EXISTENCE OF COLLECTIVE BARGAINING AGREEMENT.—This 
subsection does not require the disclosure of information by an ocean 
common carrier unless there exists an applicable and otherwise lawful 
collective bargaining agreement pertaining to that carrier. A disclosure 
by an ocean common carrier may not be deemed an admission or an 
agreement that any work is covered by a collective bargaining agree-
ment. A dispute about whether any work is covered by a collective bar-
gaining agreement and the responsibility of an ocean common carrier 
under a collective bargaining agreement shall be resolved solely in ac-
cordance with the dispute resolution procedures contained in the collec-
tive bargaining agreement and the National Labor Relations Act (29 
U.S.C. 151 et seq.), and without reference to this subsection. 
‘‘(5) EFFECT UNDER OTHER LAWS.—This subsection does not affect 
the lawfulness or unlawfulness under this part or any other Federal or 
State law of any collective bargaining agreement or element thereof, in-
cluding any element that constitutes an essential term of a service con-
tract. 
‘‘(f) REMEDY FOR BREACH.—Unless the parties agree otherwise, the ex-
clusive remedy for a breach of a service contract is an action in an appro-
priate court. The contract dispute resolution forum may not be controlled 
by or in any way affiliated with a controlled carrier or by the government 
that owns or controls the carrier. 
‘‘§ 40503. Refunds and waivers 
‘‘The Federal Maritime Commission, on application of a carrier or ship-
per, may permit a common carrier or conference to refund a portion of the 
freight charges collected from a shipper, or to waive collection of a portion 
of the charges from a shipper, if— 
‘‘(1) there is an error in a tariff, a failure to publish a new tariff, 
or an error in quoting a tariff, and the refund or waiver will not result 
in discrimination among shippers, ports, or carriers; 
‘‘(2) the common carrier or conference, before filing an application 
for authority to refund or waive any charges for an error in a tariff 
or a failure to publish a tariff, has published a new tariff setting forth 
the rate on which the refund or waiver would be based; and 
‘‘(3) the application for the refund or waiver is filed with the Com-
mission within 180 days from the date of shipment. 
‘‘CHAPTER 407—CONTROLLED CARRIERS 
‘‘Sec. 
‘‘40701.
Rates. 
‘‘40702.
Rate standards. 
‘‘40703.
Effective date of rates. 
‘‘40704.
Commission review. 
‘‘40705.
Presidential review of Commission orders. 
‘‘40706.
Exceptions. 
‘‘§ 40701. Rates 
‘‘(a) IN GENERAL.—A controlled carrier may not— 
‘‘(1) maintain a rate or charge in a tariff or service contract, or 
charge or assess a rate, that is below a just and reasonable level; or 
‘‘(2) establish, maintain, or enforce in a tariff or service contract a 
classification, rule, or regulation that results, or is likely to result, in 
the carriage or handling of cargo at a rate or charge that is below a 
just and reasonable level. 
‘‘(b) COMMISSION PROHIBITION.—The Federal Maritime Commission, at 
any time after notice and opportunity for a hearing, may prohibit the publi-
cation or use of a rate, charge, classification, rule, or regulation that a con-
trolled carrier has failed to demonstrate is just and reasonable. 
‘‘(c) BURDEN OF PROOF.—In a proceeding under this section, the burden 
of proof is on the controlled carrier to demonstrate that its rate, charge, 
classification, rule, or regulation is just and reasonable. 
‘‘(d) VOIDNESS.—A rate, charge, classification, rule, or regulation that 
has been suspended or prohibited by the Commission is void and its use is 
unlawful. 
‘‘§ 40702. Rate standards 
‘‘(a) DEFINITION.—In this section, the term ‘constructive costs’ means 
the costs of another carrier, other than a controlled carrier, operating simi-
lar vessels and equipment in the same or a similar trade. 
‘‘(b) STANDARDS.—In determining whether a rate, charge, classification, 
rule, or regulation of a controlled carrier is just and reasonable, the Federal 
Maritime Commission— 
‘‘(1) shall take into account whether the rate or charge that has been 
published or assessed, or that would result from the pertinent classi-
fication, rule, or regulation, is below a level that is fully compensatory 
to the controlled carrier based on the carrier’s actual costs or construc-
tive costs; and 
‘‘(2) may take into account other appropriate factors, including 
whether the rate, charge, classification, rule, or regulation is— 
‘‘(A) the same as, or similar to, those published or assessed by 
other carriers in the same trade; 
‘‘(B) required to ensure movement of particular cargo in the 
same trade; or 
‘‘(C) required to maintain acceptable continuity, level, or quality 
of common carrier service to or from affected ports. 
‘‘§ 40703. Effective date of rates 
‘‘Notwithstanding section 40501(e) of this title and except for service 
contracts, a rate, charge, classification, rule, or regulation of a controlled 
carrier may not become effective, without special permission of the Federal 
Maritime Commission, until the 30th day after publication. 
‘‘§ 40704. Commission review 
‘‘(a) REQUEST FOR JUSTIFICATION.—On request of the Federal Maritime 
Commission, a controlled carrier shall file with the Commission, within 20 
days of the request, a statement of justification that sufficiently details the 
carrier’s need and purpose for an existing or proposed rate, charge, classi-
fication, rule, or regulation and upon which the Commission may reasonably 
base a determination of its lawfulness.
‘‘(b) DETERMINATION.—Within 120 days after receipt of information re-
quested under subsection (a), the Commission shall determine whether the 
rate, charge, classification, rule, or regulation may be unjust and unreason-
able. 
‘‘(c) SHOW CAUSE ORDER.—Whenever the Commission is of the opinion 
that a rate, charge, classification, rule, or regulation published or assessed 
by a controlled carrier may be unjust and unreasonable, the Commission 
shall issue an order to the controlled carrier to show cause why the rate, 
charge, classification, rule, or regulation should not be prohibited. 
‘‘(d) SUSPENSION PENDING DETERMINATION.— 
‘‘(1) NOT YET EFFECTIVE.—Pending a determination of the lawful-
ness of a rate, charge, classification, rule, or regulation in a proceeding 
under subsection (c), the Commission may suspend the rate, charge, 
classification, rule, or regulation at any time before its effective date. 
‘‘(2) ALREADY EFFECTIVE.—If a rate, charge, classification, rule, or 
regulation has already become effective, the Commission, on issuance 
of an order to show cause, may suspend the rate, charge, classification, 
rule, or regulation on at least 30 days’ notice to the controlled carrier. 
‘‘(3) MAXIMUM SUSPENSION.—A period of suspension under this 
subsection may not exceed 180 days. 
‘‘(e) REPLACEMENT DURING SUSPENSION.—Whenever the Commission 
has suspended a rate, charge, classification, rule, or regulation under this 
section, the controlled carrier may publish a new rate, charge, classification, 
rule, or regulation to take effect immediately during the suspension in lieu 
of the suspended rate, charge, classification, rule, or regulation. However, 
the Commission may reject the new rate, charge, classification, rule, or reg-
ulation if the Commission believes it is unjust and unreasonable. 
‘‘§ 40705. Presidential review of Commission orders 
‘‘(a) TRANSMISSION TO PRESIDENT.—The Federal Maritime Commission 
shall transmit to the President, concurrently with publication thereof, each 
order of suspension or final order of prohibition issued under section 40704 
of this title. 
‘‘(b) PRESIDENTIAL REQUEST
AND COMMISSION ACTION.—Within 10 
days after receipt or the effective date of a Commission order referred to 
in subsection (a), the President, in writing, may request the Commission to 
stay the effect of the order if the President finds that the stay is required 
for reasons of national defense or foreign policy. The reasons shall be speci-
fied in the request. The Commission shall immediately grant the request by 
issuing an order in which the President’s request shall be described. During 
a stay, the President shall, whenever practicable, attempt to resolve the
matter by negotiating with representatives of the applicable foreign govern-
ments. 
‘‘§ 40706. Exceptions 
‘‘This chapter does not apply to— 
‘‘(1) a controlled carrier of a foreign country whose vessels are enti-
tled by a treaty of the United States to receive national or most-fa-
vored-nation treatment; or 
‘‘(2) a trade served only by controlled carriers. 
‘‘CHAPTER 409—OCEAN TRANSPORTATION 
INTERMEDIARIES 
‘‘Sec. 
‘‘40901.
License requirement. 
‘‘40902.
Financial responsibility. 
‘‘40903.
Suspension or revocation of license. 
‘‘40904.
Compensation by common carriers. 
‘‘§ 40901. License requirement 
‘‘(a) IN GENERAL.—A person in the United States may not act as an 
ocean transportation intermediary unless the person holds an ocean trans-
portation intermediary’s license issued by the Federal Maritime Commis-
sion. The Commission shall issue a license to a person that the Commission 
determines to be qualified by experience and character to act as an ocean 
transportation intermediary. 
‘‘(b) EXCEPTION.—A person whose primary business is the sale of mer-
chandise may forward shipments of the merchandise for its own account 
without an ocean transportation intermediary’s license. 
‘‘§ 40902. Financial responsibility 
‘‘(a) IN GENERAL.—A person may not act as an ocean transportation 
intermediary unless the person furnishes a bond, proof of insurance, or 
other surety— 
‘‘(1) in a form and amount determined by the Federal Maritime 
Commission to insure financial responsibility; and 
‘‘(2) issued by a surety company found acceptable by the Secretary 
of the Treasury. 
‘‘(b) SCOPE
OF FINANCIAL RESPONSIBILITY.—A bond, insurance, or 
other surety obtained under this section— 
‘‘(1) shall be available to pay any penalty assessed under section 
41109 of this title or any order for reparation issued under section 
41305 of this title; 
‘‘(2) may be available to pay any claim against an ocean transpor-
tation intermediary arising from its transportation-related activities— 
‘‘(A) with the consent of the insured ocean transportation inter-
mediary and subject to review by the surety company; or
‘‘(B) when the claim is deemed valid by the surety company 
after the ocean transportation intermediary has failed to respond 
to adequate notice to address the validity of the claim; and 
‘‘(3) shall be available to pay any judgment for damages against an 
ocean transportation intermediary arising from its transportation-re-
lated activities, if the claimant has first attempted to resolve the claim 
under paragraph (2) and the claim has not been resolved within a rea-
sonable period of time. 
‘‘(c) REGULATIONS ON COURT JUDGMENTS.—The Commission shall pre-
scribe regulations for the purpose of protecting the interests of claimants, 
ocean transportation intermediaries, and surety companies with respect to 
the process of pursuing claims against ocean transportation intermediary 
bonds, insurance, or sureties through court judgments. The regulations shall 
provide that a judgment for monetary damages may not be enforced except 
to the extent that the damages claimed arise from the transportation-related 
activities of the insured ocean transportation intermediary, as defined by the 
Commission. 
‘‘(d) RESIDENT AGENT.—An ocean transportation intermediary not domi-
ciled in the United States shall designate a resident agent in the United 
States for receipt of service of judicial and administrative process, including 
subpoenas. 
‘‘§ 40903. Suspension or revocation of license 
‘‘(a) FAILURE TO MAINTAIN QUALIFICATIONS OR TO COMPLY.—The 
Federal Maritime Commission, after notice and opportunity for a hearing, 
shall suspend or revoke an ocean transportation intermediary’s license if the 
Commission finds that the ocean transportation intermediary— 
‘‘(1) is not qualified to provide intermediary services; or 
‘‘(2) willfully failed to comply with a provision of this part or with 
an order or regulation of the Commission. 
‘‘(b) FAILURE TO MAINTAIN BOND, PROOF OF INSURANCE, OR OTHER 
SURETY.—The 
Commission 
may 
revoke 
an 
ocean 
transportation 
intermediary’s license for failure to maintain a bond, proof of insurance, or 
other surety as required by section 40902(a) of this title. 
‘‘§ 40904. Compensation by common carriers 
‘‘(a) CERTIFICATION OF LICENSE AND SERVICES.—A common carrier 
may compensate an ocean freight forwarder for a shipment dispatched for 
others only when the ocean freight forwarder has certified in writing that 
it holds an ocean transportation intermediary’s license (if required under 
section 40901 of this title) and has—
‘‘(1) engaged, booked, secured, reserved, or contracted directly with 
the carrier or its agent for space aboard a vessel or confirmed the 
availability of the space; and 
‘‘(2) prepared and processed the ocean bill of lading, dock receipt, 
or other similar document for the shipment. 
‘‘(b) DUAL COMPENSATION.—A common carrier may not pay compensa-
tion for services described in subsection (a) more than once on the same 
shipment. 
‘‘(c) BENEFICIAL INTEREST SHIPMENTS.—An ocean freight forwarder 
may not receive compensation from a common carrier for a shipment in 
which the ocean freight forwarder has a direct or indirect beneficial interest. 
A common carrier may not knowingly pay compensation on that shipment. 
‘‘(d) LIMITS ON AUTHORITY OF CONFERENCE OR GROUP.—A conference 
or group of two or more ocean common carriers in the foreign commerce 
of the United States that is authorized to agree on the level of compensation 
paid to an ocean freight forwarder may not— 
‘‘(1) deny a member of the conference or group the right, upon no-
tice of not more than 5 days, to take independent action on any level 
of compensation paid to an ocean freight forwarder; or 
‘‘(2) agree to limit the payment of compensation to an ocean freight 
forwarder to less than 1.25 percent of the aggregate of all rates and 
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— 
‘‘(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 
‘‘(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— 
‘‘(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; 
‘‘(2) give any undue or unreasonable preference or advantage or im-
pose any undue or unreasonable prejudice or disadvantage with respect 
to any person; or 
‘‘(3) unreasonably refuse to deal or negotiate. 
‘‘§ 41107. Monetary penalties 
‘‘(a) IN GENERAL.—A person that violates this part or a regulation or 
order of the Federal Maritime Commission issued under this part is liable 
to the United States Government for a civil penalty. Unless otherwise pro-
vided in this part, the amount of the penalty may not exceed $5,000 for 
each violation or, if the violation was willfully and knowingly committed, 
$25,000 for each violation. Each day of a continuing violation is a separate 
violation. 
‘‘(b) LIEN ON CARRIER’S VESSELS.—The amount of a civil penalty im-
posed on a common carrier under this section constitutes a lien on the ves-
sels operated by the carrier. Any such vessel is subject to an action in rem 
to enforce the lien in the district court of the United States for the district 
in which it is found. 
‘‘§ 41108. Additional penalties 
‘‘(a) SUSPENSION OF TARIFFS.—For a violation of section 41104(1), (2), 
or (7) of this title, the Federal Maritime Commission may suspend any or
all tariffs of the common carrier, or that common carrier’s right to use any 
or all tariffs of conferences of which it is a member, for a period not to 
exceed 12 months. 
‘‘(b) OPERATING UNDER SUSPENDED TARIFF.—A common carrier that 
accepts or handles cargo for carriage under a tariff that has been sus-
pended, or after its right to use that tariff has been suspended, is liable 
to the United States Government for a civil penalty of not more than 
$50,000 for each shipment. 
‘‘(c) FAILURE TO PROVIDE INFORMATION.— 
‘‘(1) PENALTIES.—If the Commission finds, after notice and oppor-
tunity for a hearing, that a common carrier has failed to supply infor-
mation ordered to be produced or compelled by subpoena under section 
41303 of this title, the Commission may— 
‘‘(A) suspend any or all tariffs of the carrier or the carrier’s 
right to use any or all tariffs of conferences of which it is a mem-
ber; and 
‘‘(B) request the Secretary of Homeland Security to refuse or 
revoke any clearance required for a vessel operated by the carrier, 
and when so requested, the Secretary shall refuse or revoke the 
clearance. 
‘‘(2) DEFENSE BASED ON FOREIGN LAW.—If, in defense of its fail-
ure to comply with a subpoena or discovery order, a common carrier 
alleges that information or documents located in a foreign country can-
not be produced because of the laws of that country, the Commission 
shall immediately notify the Secretary of State of the failure to comply 
and of the allegation relating to foreign laws. On receiving the notifica-
tion, the Secretary of State shall promptly consult with the government 
of the nation within which the information or documents are alleged 
to be located for the purpose of assisting the Commission in obtaining 
the information or documents. 
‘‘(d) IMPAIRING ACCESS TO FOREIGN TRADE.—If the Commission finds, 
after notice and opportunity for a hearing, that the action of a common car-
rier, acting alone or in concert with another person, or a foreign government 
has unduly impaired access of a vessel documented under the laws of the 
United States to ocean trade between foreign ports, the Commission shall 
take action that it finds appropriate, including imposing any of the penalties 
authorized by this section. The Commission also may take any of the actions 
authorized by sections 42304 and 42305 of this title. 
‘‘(e) SUBMISSION OF ORDER TO PRESIDENT.—Before an order under this 
section becomes effective, it shall be submitted immediately to the President. 
The President, within 10 days after receiving it, may disapprove it if the
President finds that disapproval is required for reasons of national defense 
or foreign policy. 
‘‘§ 41109. Assessment of penalties 
‘‘(a) GENERAL AUTHORITY.—Until a matter is referred to the Attorney 
General, the Federal Maritime Commission may, after notice and oppor-
tunity for a hearing, assess a civil penalty provided for in this part. The 
Commission may compromise, modify, or remit, with or without conditions, 
a civil penalty. 
‘‘(b) FACTORS IN DETERMINING AMOUNT.—In determining the amount 
of a civil penalty, the Commission shall take into account the nature, cir-
cumstances, extent, and gravity of the violation committed and, with respect 
to the violator, the degree of culpability, history of prior offenses, ability to 
pay, and other matters justice may require. 
‘‘(c) EXCEPTION.—A civil penalty may not be imposed for conspiracy to 
violate section 41102(a) or 41104(1) or (2) of this title or to defraud the 
Commission by concealing such a violation. 
‘‘(d) PROHIBITED BASIS OF PENALTY.—The Commission or a court may 
not order a person to pay the difference between the amount billed and 
agreed upon in writing with a common carrier or its agent and the amount 
set forth in a tariff or service contract by that common carrier for the 
transportation service provided. 
‘‘(e) TIME LIMIT.—A proceeding to assess a civil penalty under this sec-
tion must be commenced within 5 years after the date of the violation. 
‘‘(f) REVIEW OF CIVIL PENALTY.—A person against whom a civil penalty 
is assessed under this section may obtain review under chapter 158 of title 
28. 
‘‘(g) CIVIL ACTIONS TO COLLECT.—If a person does not pay an assess-
ment of a civil penalty after it has become final or after the appropriate 
court has entered final judgment in favor of the Commission, the Attorney 
General at the request of the Commission may seek to collect the amount 
assessed in an appropriate district court of the United States. The court 
shall enforce the order of the Commission unless it finds that the order was 
not regularly made and duly issued. 
‘‘CHAPTER 413—ENFORCEMENT 
‘‘Sec. 
‘‘41301.
Complaints. 
‘‘41302.
Investigations. 
‘‘41303.
Discovery and subpoenas. 
‘‘41304.
Hearings and orders. 
‘‘41305.
Award of reparations. 
‘‘41306.
Injunctive relief sought by complainants. 
‘‘41307.
Injunctive relief sought by the Commission. 
‘‘41308.
Enforcement of subpoenas and orders. 
‘‘41309.
Enforcement of reparation orders.
‘‘§ 41301. Complaints 
‘‘(a) IN GENERAL.—A person may file with the Federal Maritime Com-
mission a sworn complaint alleging a violation of this part, except section 
41307(b)(1). If the complaint is filed within 3 years after the claim accrues, 
the complainant may seek reparations for an injury to the complainant 
caused by the violation. 
‘‘(b) NOTICE AND RESPONSE.—The Commission shall provide a copy of 
the complaint to the person named in the complaint. Within a reasonable 
time specified by the Commission, the person shall satisfy the complaint or 
answer it in writing. 
‘‘(c) IF COMPLAINT NOT SATISFIED.—If the complaint is not satisfied, 
the Commission shall investigate the complaint in an appropriate manner 
and make an appropriate order. 
‘‘§ 41302. Investigations 
‘‘(a) IN GENERAL.—The Federal Maritime Commission, on complaint or 
its own motion, may investigate any conduct or agreement that the Commis-
sion believes may be in violation of this part. The Commission may by order 
disapprove, cancel, or modify any agreement that operates in violation of 
this part. 
‘‘(b) EFFECTIVENESS OF AGREEMENT DURING INVESTIGATION.—Unless 
an injunction is issued under section 41306 or 41307 of this title, an agree-
ment under investigation by the Commission remains in effect until the 
Commission issues its order. 
‘‘(c) DATE FOR DECISION.—Within 10 days after the initiation of a pro-
ceeding under this section or section 41301 of this title, the Commission 
shall set a date by which it will issue its final decision. The Commission 
by order may extend the date for good cause. 
‘‘(d) SANCTIONS FOR DELAY.—If, within the period for final decision 
under subsection (c), the Commission determines that it is unable to issue 
a final decision because of undue delay caused by a party to the proceeding, 
the Commission may impose sanctions, including issuing a decision adverse 
to the delaying party. 
‘‘(e) REPORT.—The Commission shall make a written report of every in-
vestigation under this part in which a hearing was held, stating its conclu-
sions, decisions, findings of fact, and order. The Commission shall provide 
a copy of the report to all parties and publish the report for public informa-
tion. A published report is competent evidence in a court of the United 
States. 
‘‘§ 41303. Discovery and subpoenas 
‘‘(a) IN GENERAL.—In an investigation or adjudicatory proceeding under 
this part—