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—
‘‘(1) the Federal Maritime Commission may subpoena witnesses and 
evidence; and 
‘‘(2) a party may use depositions, written interrogatories, and dis-
covery procedures under regulations prescribed by the Commission 
that, to the extent practicable, shall conform to the Federal Rules of 
Civil Procedure (28 App. U.S.C.). 
‘‘(b) WITNESS FEES.—Unless otherwise prohibited by law, a witness is 
entitled to the same fees and mileage as in the courts of the United States. 
‘‘§ 41304. Hearings and orders 
‘‘(a) OPPORTUNITY FOR HEARING.—The Federal Maritime Commission 
shall provide an opportunity for a hearing before issuing an order relating 
to a violation of this part or a regulation prescribed under this part. 
‘‘(b) MODIFICATION OF ORDER.—The Commission may reverse, suspend, 
or modify any of its orders. 
‘‘(c) REHEARING.—On application of a party to a proceeding, the Com-
mission may grant a rehearing of the same or any matter determined in 
the proceeding. Except by order of the Commission, a rehearing does not 
operate as a stay of an order.
‘‘(d) PERIOD OF EFFECTIVENESS.—An order of the Commission remains 
in effect for the period specified in the order or until suspended, modified, 
or set aside by the Commission or a court of competent jurisdiction. 
‘‘§ 41305. Award of reparations 
‘‘(a) DEFINITION.—In this section, the term ‘actual injury’ includes the 
loss of interest at commercial rates compounded from the date of injury. 
‘‘(b) BASIC AMOUNT.—If the complaint was filed within the period speci-
fied in section 41301(a) of this title, the Federal Maritime Commission shall 
direct the payment of reparations to the complainant for actual injury 
caused by a violation of this part, plus reasonable attorney fees. 
‘‘(c) ADDITIONAL AMOUNTS.—On a showing that the injury was caused 
by an activity prohibited by section 41102(b), 41104(3) or (6), or 41105(1) 
or (3) of this title, the Commission may order the payment of additional 
amounts, but the total recovery of a complainant may not exceed twice the 
amount of the actual injury. 
‘‘(d) DIFFERENCE BETWEEN RATES.—If the injury was caused by an ac-
tivity prohibited by section 41104(4)(A) or (B) of this title, the amount of 
the injury shall be the difference between the rate paid by the injured ship-
per and the most favorable rate paid by another shipper. 
‘‘§ 41306. Injunctive relief sought by complainants 
‘‘(a) IN GENERAL.—After filing a complaint with the Federal Maritime 
Commission under section 41301 of this title, the complainant may bring 
a civil action in a district court of the United States to enjoin conduct in 
violation of this part. 
‘‘(b) VENUE.—The action must be brought in the judicial district in 
which—
‘‘(1) the Commission has brought a civil action against the defendant 
under section 41307(a) of this title; or 
‘‘(2) the defendant resides or transacts business, if the Commission 
has not brought such an action. 
‘‘(c) REMEDIES BY COURT.—After notice to the defendant, and a showing 
that the standards for granting injunctive relief by courts of equity are met, 
the court may grant a temporary restraining order or preliminary injunction 
for a period not to exceed 10 days after the Commission has issued an order 
disposing of the complaint. 
‘‘(d) ATTORNEY FEES.—A defendant prevailing in a civil action under 
this section shall be allowed reasonable attorney fees to be assessed and col-
lected as part of the costs of the action. 
‘‘§ 41307. Injunctive relief sought by the Commission 
‘‘(a) GENERAL VIOLATIONS.—In connection with an investigation under 
section 41301 or 41302 of this title, the Federal Maritime Commission may