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FMC Regulatory Framework — 46 CFR Chapter IV

A comprehensive guide to the Federal Maritime Commission's regulations in Title 46 of the Code of Federal Regulations, Chapter IV. These regulations implement the Shipping Act of 1984 and the Ocean Shipping Reform Acts.

Quick Reference: 46 CFR Chapter IV Parts

PartTitleKey Topic
Part 501FMC Organization and FunctionsDescribes the FMC's organizational structure, the roles of its five Commissioners, and the functions of each bureau and office including the Bureau of Enforcement, Bureau of Certification and Licensing, and Office of the General Counsel.
Part 502Rules of Practice and ProcedureGoverns formal adjudicatory proceedings before the FMC, including complaint procedures, discovery, hearings before Administrative Law Judges (ALJs), and appeals to the full Commission.
Part 503Public InformationImplements the Freedom of Information Act (FOIA) for FMC records and describes what information is publicly available, how to request records, and fee schedules.
Part 504Procedures for Requests for Interpretations, Rulings, and Other ReliefEstablishes the process by which parties may request informal guidance, interpretive rulings, or declaratory orders from the FMC on specific regulatory questions.
Part 515Licensing, Registration, and Financial Responsibility Requirements for Ocean Transportation IntermediariesThe primary licensing regulation for Ocean Transportation Intermediaries (OTIs), including both Ocean Freight Forwarders (OFFs) and Non-Vessel-Operating Common Carriers (NVOCCs).
Part 520Carrier Automated TariffsRequires ocean common carriers and NVOCCs to publish and maintain tariffs in a format accessible to the public via the internet.
Part 525Marine Terminal Operator SchedulesRequires marine terminal operators (MTOs) to publish schedules of their rates, rules, and practices, including demurrage and detention charges.
Part 530Service ContractsGoverns the filing and confidentiality of service contracts between ocean common carriers and shippers.
Part 535Ocean Common Carrier and Marine Terminal Operator AgreementsGoverns the filing, review, and monitoring of agreements between ocean common carriers and between MTOs.
Part 540Passenger Vessel CertificatesRequires passenger vessel operators to obtain certificates of financial responsibility (CFRs) demonstrating ability to reimburse passengers for non-performance of transportation.
Part 541Demurrage and DetentionImplements the OSRA 2022 requirement that demurrage and detention billing practices be reasonable.
Part 545Controlled CarriersGoverns the FMC's oversight of controlled carriers — ocean common carriers that are owned or controlled by a foreign government.

Detailed Part-by-Part Guide

Describes the FMC's organizational structure, the roles of its five Commissioners, and the functions of each bureau and office including the Bureau of Enforcement, Bureau of Certification and Licensing, and Office of the General Counsel.

Key Requirements

  • Five-member Commission, no more than three from same party
  • Commissioner terms: 5 years
  • Headquarters: Washington, D.C.
  • Enforcement, Certification, Trade Analysis bureaus

Governs formal adjudicatory proceedings before the FMC, including complaint procedures, discovery, hearings before Administrative Law Judges (ALJs), and appeals to the full Commission.

Key Requirements

  • Formal complaint filing procedures
  • Discovery rules (depositions, interrogatories, document requests)
  • ALJ hearing procedures
  • Commission review and appeals process
  • Civil penalty assessment procedures

Implements the Freedom of Information Act (FOIA) for FMC records and describes what information is publicly available, how to request records, and fee schedules.

Key Requirements

  • FOIA request procedures
  • Exemptions from disclosure
  • Fee schedules for record requests
  • Reading room materials

Establishes the process by which parties may request informal guidance, interpretive rulings, or declaratory orders from the FMC on specific regulatory questions.

Key Requirements

  • How to request a legal opinion from the Office of General Counsel
  • Declaratory order procedures
  • Advisory opinions

The primary licensing regulation for Ocean Transportation Intermediaries (OTIs), including both Ocean Freight Forwarders (OFFs) and Non-Vessel-Operating Common Carriers (NVOCCs). Sets out application requirements, financial responsibility requirements, and grounds for license revocation.

Key Requirements

  • OFFs: $50,000 surety bond or insurance
  • NVOCCs: $75,000 surety bond or insurance (U.S.-based) / $150,000 (foreign-based)
  • Qualified Individual (QI) requirement — must demonstrate knowledge of FMC regulations
  • License renewal requirements
  • Grounds for suspension or revocation

Requires ocean common carriers and NVOCCs to publish and maintain tariffs in a format accessible to the public via the internet. Sets out the required content, format, and amendment procedures for tariffs.

Key Requirements

  • Tariffs must be accessible via internet at no charge
  • Must include all rates, charges, rules, and practices
  • Amendments must be published before taking effect
  • Carriers may not charge rates other than published tariff rates (except via service contracts)

Requires marine terminal operators (MTOs) to publish schedules of their rates, rules, and practices, including demurrage and detention charges.

Key Requirements

  • MTO schedules must be publicly available
  • Must include all terminal charges
  • Demurrage and detention schedules must be clearly stated
  • Amendments must be published before taking effect

Governs the filing and confidentiality of service contracts between ocean common carriers and shippers. Sets out the required contents of service contracts and the procedures for filing essential terms with the FMC.

Key Requirements

  • Essential terms must be filed with the FMC
  • Full contract contents remain confidential
  • Required essential terms: commodity, volume, rate, service commitments, duration
  • Amendments and cancellations must be filed

Governs the filing, review, and monitoring of agreements between ocean common carriers and between MTOs. Implements the antitrust immunity provisions of the Shipping Act for qualifying agreements.

Key Requirements

  • All agreements must be filed with FMC before taking effect
  • 45-day review period (FMC may extend)
  • Annual monitoring reports required for major agreements
  • FMC may seek injunctive relief for anti-competitive agreements
  • Vessel sharing agreements (VSAs), alliances, and conference agreements covered

Requires passenger vessel operators to obtain certificates of financial responsibility (CFRs) demonstrating ability to reimburse passengers for non-performance of transportation.

Key Requirements

  • Required for vessels with berth/stateroom capacity for 50+ passengers
  • Must demonstrate financial responsibility via escrow, surety bond, or insurance
  • Annual renewal required
  • Applies to foreign and domestic operators serving U.S. ports

Implements the OSRA 2022 requirement that demurrage and detention billing practices be reasonable. Effective May 28, 2024, this rule establishes billing requirements, dispute resolution procedures, and the FMC's enforcement authority.

Key Requirements

  • Invoices must be issued within 30 days of charge incurrence
  • Invoices must identify container number, date, rate, and tariff authority
  • Mandatory 30-day dispute resolution process
  • Charges may not accrue during carrier-caused delays
  • FMC may assess civil penalties up to $250,000 per violation

Governs the FMC's oversight of controlled carriers — ocean common carriers that are owned or controlled by a foreign government. Controlled carriers are subject to additional scrutiny to ensure their rates are not predatory or below cost.

Key Requirements

  • Controlled carriers must justify rates that appear below cost
  • FMC may order rate increases for below-cost rates
  • Applies to state-owned carriers (e.g., COSCO, Evergreen when partially state-owned)
  • Exemptions available for certain routes

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