Exhibit No. 1 to Subpart Q [§ 502.271(d)] of Part 502 - Application for Refund or Waiver of Freight Charges Due to Tariff or Quoting Error
46:9.0.1.1.3.17.1.2.4 :
Exhibit No. 1 to Subpart Q [§ 502.271(d)] of Part 502 - Application
for Refund or Waiver of Freight Charges Due to Tariff or Quoting
Error
Federal Maritime Commission Special Docket No. _____ [leave
blank].
Amount of Freight Charges to be refunded or waived:
Application of (Name of carrier or shipper) for the benefit of
(Name of person who paid or is responsible for payment of freight
charges).
1. Shipment(s). Here fully describe:
(a) Commodity (according to tariff description).
(b) Number of shipments.
(c) Weight or measurement, container size, and number of
containers of individual shipment, as well as all shipments.
(d)(1) Date(s) of receipt of shipment(s) by the carrier;
(2) Date(s) of sailing(s) (furnish supporting evidence).
(e) Shipper and place of origin.
(f) Consignee, place of destination and routing of
shipment(s).
(g) Name of carrier and date shown on bill of lading (furnish
legible copies of bill(s) of lading).
(h) Names of participating ocean carrier(s).
(i) Name(s) of vessel(s) involved in carriage.
(j) Amount of freight charges actually collected (furnish
legible copies of rated bill(s) of lading or freight bill(s), as
appropriate) broken down (i) per shipment, (ii) in the aggregate,
(iii) by whom paid, (iv) who is responsible for payment if
different, and (v) date(s) of collection.
(k) Rate and tariff commodity description applicable at time of
shipment (furnish legible copies of tariff materials).
(l) Rate and commodity description sought to be applied (furnish
legible copies of applicable tariff materials).
(m)(1) Amount of applicable freight charges, per shipment and in
the aggregate;
(2) Amount of freight charges at rate sought to be applied, per
shipment and in the aggregate.
(n) Amount of freight charges sought to be (refunded) (waived),
per shipment and in the aggregate.
2. Furnish docket numbers of other special docket applications
or decided or pending formal proceedings involving the same rate
situations.
3. Fully explain the basis for the application, i.e., the error,
failure to publish, or misquote, showing why the application should
be granted. Furnish affidavits, if appropriate, and legible copies
of all supporting documents. If the error is due to failure to
publish a tariff, specify the date when the carrier and/or
conference intended or agreed to publish a new tariff. If the
application is based on a misquote, the application must include
the affidavit of the person who made the misquote describing the
circumstances surrounding such misquote along with any other
supporting documentary evidence available.
4. Furnish any information or evidence as to whether granting
the application may result in discrimination among shippers, ports
or carriers. List any shipments of other shippers of the same
commodity which (i) moved via the carrier(s) or conference involved
in this application during the period of time beginning on the date
the intended rate would have become effective and ending on the day
before the effective date of the conforming tariff; (ii) moved on
the same voyage(s) of the vessel(s) carrying the shipment(s)
described in No. 1, above; or (iii), in the case of a misquote,
moved between the date of receipt of shipment(s) described in No. 1
above, and the date(s) of sailing(s).
(Here set forth Name of Applicant, Signature of Authorized
Person, Typed or Printed Name of Person, Title of Person and
Date)
State of , County of . ss:
I,___ , on oath declare that I am ___ of the above-named
applicant, that I have read this application and know its contents,
and that they are true. Subscribed and sworn to before me, a notary
public in and for the State of ______ , County of ______, this ___
day of ___ .
(Seal)
Notary Public
My Commission expires.
CERTIFICATE OF SERVICE (if applicable)
I hereby certify that I have this day served the foregoing
document upon the (insert the conference name if a conference
tariff is involved; or the name of the carrier if the applicant is
a shipper) by delivering a copy (insert means by which copy
delivered).
Dated in (insert city, county, state) this ___ day of ___.
(signature)
For:
CERTIFICATE OF MAILING
I certify that the date shown below is the date of mailing (or
date of delivery to courier) of the original and one (1) copy of
this application to the Secretary, Federal Maritime Commission,
Washington, DC, 20573-0001.
Dated at ___, this ___ day of ___ .
(Signature) .
For.
Exhibit No. 1 to Subpart S [§ 502.304(a)] of Part 502 - Small Claim Form for Informal Adjudication and Information Checklist
46:9.0.1.1.3.19.1.6.5 :
Exhibit No. 1 to Subpart S [§ 502.304(a)] of Part 502 - Small Claim
Form for Informal Adjudication and Information Checklist Federal
Maritime Commission, Washington, DC.
Informal Docket No.___
(Claimant)
vs.
(Respondent)
I. The claimant is [state in this paragraph whether claimant is
an association, corporation, firm or partnership, and if a firm or
partnership, the names of the individuals composing the same. State
the nature and principal place of business.]
II. The respondent named above is [state in this paragraph
whether respondent is an association, corporation, firm or
partnership, and if a firm or partnership, the names of the
individuals composing the same. State the nature and principal
place of business.]
III. That [state in this and subsequent paragraphs to be
lettered A, B, etc., the matters that gave rise to the claim. Name
specifically each rate, charge, classification, regulation or
practice which is challenged. Refer to tariffs, tariff items or
rules, or agreement numbers, if known. If claim is based on the
fact that a firm is a common carrier, state where it is engaged in
transportation by water and which statute(s) it is subject to under
the jurisdiction of the Federal Maritime Commission].
IV. If claim is for overcharges, state commodity, weight and
cube, origin, destination, bill of lading description, bill of
lading number and date, rate and/or charges assessed, date of
delivery, date of payment, by whom paid, rate or charge claimed to
be correct and amount claimed as overcharges. [Specify tariff item
for rate or charge claimed to be proper].
V. State section of statute claimed to have been violated. (Not
required if claim is for overcharges).
VI. State how claimant was injured and amount of damages
requested.
VII. The undersigned authorizes the Small Claims Officer to
determine the above-stated claim pursuant to the informal procedure
outlined in subpart S (46 CFR 502.301-502.305) of the Commission's
informal procedure for adjudication of small claims subject to
discretionary Commission review.
Attach memorandum or brief in support of claim. Also attach bill
of lading, copies of correspondence or other documents in support
of claim.
(Date) (Claimant's signature) (Claimant's address) (Signature of
agent or attorney) (Agent's or attorney's address) Verification
State of ___, County of ___, ss: ___, being first duly sworn on
oath deposes and says that he or she is
The claimant [or if a firm, association, or corporation, state the
capacity of the affiant] and is the person who signed the foregoing
claim, that he or she has read the foregoing and that the facts set
forth without qualification are true and that the facts stated
therein upon information received from others, affiant believes to
be true. Subscribed and sworn to before me, a notary public in and
for the State of ___, County of ___, this __ day of ___ 19 - .
(Seal) (Notary Public) My Commission expires, Information To Assist
in Filing Informal Complaints
Informal Docket procedures are limited to claims of $50,000 or
less and are appropriate only in instances when an evidentiary
hearing on disputed facts is not necessary. Where, however, a
respondent elects not to consent to the informal procedures [See
Exhibit No. 2 to subpart S], the claim will be adjudicated by an
administrative law judge under subpart T of Part 502.
Under the Shipping Act of 1984 [for foreign commerce], the claim
must be filed within three (3) years from the time the cause of
action accrues and may be brought against any person alleged to
have violated the 1984 Act to the injury of claimant.
A violation of a specific section of a particular shipping
statute must be alleged.
The format of Exhibit No. 1 must be followed and a verification
must be included. (See §§ 502.21-502.32, 502.112, and 502.304.) An
original and two (2) copies of the claim and all
attachments, including a brief in support of the claim, must be
submitted.
[49 FR 44369, Nov. 6, 1984; 49 FR 47394, Dec. 4, 1984, as amended
at 55 FR 28400, July 11, 1990; 64 FR 7812, Feb. 17, 1999; 76 FR
10262, Feb. 24, 2011; 79 FR 46715, Aug. 11, 2014]
Exhibit No. 2 to Subpart S [§ 502.304(e)] of Part 502 - Respondent's Consent Form for Informal Adjudication
46:9.0.1.1.3.19.1.6.6 :
Exhibit No. 2 to Subpart S [§ 502.304(e)] of Part 502 -
Respondent's Consent Form for Informal Adjudication Federal
Maritime Commission, Washington, DC. Informal Docket No. ___
Respondent's Affidavit
I authorize the Small Claims Officer to determine the
above-numbered claim in accordance with subpart S (46 CFR 502) of
the Commission's informal procedure for adjudication of small
claims subject to discretionary Commission Review.
(Date) (Signed) (Capacity) Verification
State of ___________, County of __________, ss: ______, being
first duly sworn on oath deposes and says that he or she is
_________, (Title or Position) and is the person who signed the
foregoing and agrees without qualification to its truth.
Subscribed and sworn to before me, a notary public in and for
the State of ________, County of ________, this ______ day of
__________, 19__.
(Seal) (Notary Public) My Commission expires. Certificate of
Service [See § 502.320] [49 FR 44369, Nov. 6, 1984, as amended at
79 FR 46715, Aug. 11, 2014]
Appendix A to Subpart W of Part 502 - Example of Compromise Agreement To Be Used Under 46 CFR 502.604
46:9.0.1.1.3.23.1.6.7 : Appendix A
Appendix A to Subpart W of Part 502 - Example of Compromise
Agreement To Be Used Under 46 CFR 502.604 Compromise Agreement FMC
File No. ____
This Agreement is entered into between:
(1) the Federal Maritime Commission, hereinafter referred to as
Commission, and
(2) ________, hereinafter referred to as Respondent.
Whereas, the Commission is considering the institution of an
assessment proceeding against Respondent for the recovery of civil
penalties provided under the [appropriate statute], for alleged
violations of section ____;
Whereas, this course of action is the result of practices
believed by the Commission to have been engaged in by Respondent,
to wit:
[General description of practices and dates or time period
involved]
Whereas, the Commission has authority under the Shipping Act of
1984 to compromise and collect civil penalties; and,
Whereas, Respondent has terminated the practices which are the
basis for the allegations of violation set forth herein, and has
instituted and indicated its willingness to maintain measures
designed to eliminate these practices by Respondent, its officers,
directors or employees.
Now Therefore, in consideration of the premises herein, and in
compromise of all civil penalties arising from the alleged
violations, Respondent and the Commission hereby agree upon the
following terms and conditions of compromise and settlement:
1. Respondent shall make a monetary payment to the Commission
herewith, by bank cashier's check, in the total amount of
$____.
2. Upon acceptance in writing of this Agreement by the Director
of the Bureau of Enforcement of the Commission, this instrument
shall forever bar the commencement or institution of any assessment
proceeding or other claim for recovery of civil penalties from the
Respondent arising from the alleged violations set forth above.
3. It is expressly understood and agreed that this Agreement is
not, and is not to be construed as, an admission by Respondent to
the alleged violations set forth above.
(Respondent's Name) By: Title: Date: Approval and Acceptance
The above terms, conditions and consideration are hereby
approved and accepted:
By the Federal Maritime Commission:
Director, Bureau of Enforcement Date: [49 FR 44418, Nov. 6, 1984.
Redesignated at 58 FR 27211, May 7, 1993, as amended at 61 FR
51233, Oct. 1, 1996; 65 FR 81759, Dec. 27, 2000]