---
kind: "range"
citation: "46 C.F.R. §§ 535.401–535.406"
title: "46"
from: "535.401"
to: "535.406"
count: 6
url: "https://uscodex.org/cfr/46/535.401..535.406"
---

# §535.401. General requirements.

- (a) All agreements (including oral agreements reduced to writing in accordance with the Act) subject to this part and filed with the Commission for review and disposition pursuant to section 6 of the Act (46 U.S.C. [40304](/usc/46/40304.md), [40306](/usc/46/40306.md), [41307(b)-(d)](/usc/46/41307.md?p=b..d)), must be submitted to the Commission either in paper during regular business hours to the Secretary, Federal Maritime Commission, Washington, DC 20573, or electronically using the automated agreement filing system.
  - (1) **Paper filings.** Paper filings must include:
    - (i) A true copy and seven additional copies of the executed agreement;
    - (ii) Where required by this part, an original and five copies of the completed Information Form referenced at subpart E of this part; and
    - (iii) **A letter of transmittal as described in paragraph (b) of this section.**
  - (2) **Electronic filings.**
    - (i) Electronic filings using the automated agreement filing system must be made in accordance with the instructions found on the Commission's home page, http://www.fmc.gov.
    - (ii) Electronic filings must include searchable Portable Document Format (PDF) copies of the following:
      - (A) A true copy of the executed agreement;
      - (B) Where required by this part, a completed Information Form referenced at subpart E of this part; and
      - (C) **A letter of transmittal as described in paragraph (b) of this section.**
- (b) **The letter of transmittal shall—**
  - (1) Identify all of the documents being transmitted including, in the instance of a modification to an effective agreement, the full name of the effective agreement, the Commission-assigned agreement number of the effective agreement and the revision, page and/or appendix number of the modification being filed;
  - (2) Provide a concise, succinct summary of the filed agreement or modification separate and apart from any narrative intended to provide support for the acceptability of the agreement or modification;
  - (3) Clearly provide the typewritten or otherwise imprinted name, position, business address, and telephone number of the filing party; and
  - (4) Be signed by the filing party or on the filing party's behalf by an authorized employee or agent of the filing party. A faxed, photocopied, or scanned signature will be accepted.
- (c) To facilitate the timely and accurate publication of the Federal Register Notice, the letter of transmittal shall also provide a current list of the agreement's participants where such information is not provided elsewhere in the transmitted documents.
- (d) Any agreement that does not meet the filing requirements of this section, including any applicable Information Form requirements, shall be rejected in accordance with [§ 535.601(b)](/cfr/46/535.601.md?p=b).
- (e) Assessment agreements shall be filed and shall be effective upon filing.
- (f) Parties to agreements with expiration dates shall file any modification seeking renewal for a specific term or elimination of a termination date in sufficient time to accommodate the 45-day waiting period required under the Act.
- (g) The filing fee is $3,980 for new agreements and $4,637 for any agreement modifications requiring Commission review and action; $1,174 for agreements processed under delegated authority (for types of agreements that can be processed under delegated authority, see [§ 501.27(e)](/cfr/46/501.27.md?p=e) of this chapter); $343 for carrier exempt agreements; and $96 for terminal exempt agreements.
- (h) The fee for a request for expedited review of an agreement pursuant to [§ 535.605](/cfr/46/535.605.md) is $151. This fee must be paid in addition to the carrier agreement filing fee required by [paragraph (g)](#g) of this section.

# §535.402. Complete and definite agreements.


An agreement filed under the Act must be clear and definite in its terms, must embody the complete, present understanding of the parties, and must set forth the specific authorities and conditions under which the parties to the agreement will conduct their operations and regulate the relationships among the agreement members, unless those details are matters specifically enumerated as exempt from the filing requirements of this part.


# §535.403. Form of agreements.


The requirements of this section apply to all agreements except marine terminal agreements and assessment agreements.

- (a) Agreements shall be clearly and legibly written. Agreements in a language other than English shall be accompanied by an English translation.
- (b) Every agreement shall include a Title Page indicating:
  - (1) The full name of the agreement;
  - (2) Once assigned, the Commission-assigned agreement number;
  - (3) If applicable, the expiration date of the agreement; and
  - (4) **The original effective date of the agreement whenever the Title Page is revised.**
- (c) Each agreement page (including modifications and appendices) shall be identified by printing the agreement name (as shown on the agreement title page) and, once assigned, the applicable Commission-assigned agreement number at the top of each page. For agreement modifications, the appropriate amendment number for each modification should also appear on the page along with the basic agreement number.
- (d) Each agreement and/or modification filed must be signed by an official or authorized representative of each of the parties and must indicate the typewritten full name of the signing party and his or her position, including organizational affiliation. Faxed, photocopied, or scanned signatures will be accepted.
- (e) Every agreement shall include a Table of Contents indicating the location of all agreement provisions.

# §535.404. Agreement provisions.


Generally, each agreement should:

- (a) Indicate the full legal name of each party, including any FMC-assigned agreement number associated with that name, and the address of its principal office (not the address of any agent or representative not an employee of the participating party);
- (b) State the ports or port ranges to which the agreement applies as well as any inland points or areas to which it also applies; and
- (c) Specify, by organizational title, the administrative and executive officials determined by the agreement parties to be responsible for designated affairs of the agreement and the respective duties and authorities delegated to those officials. At a minimum, the agreement should specify:
  - (1) The official(s) with authority to file the agreement and any modification thereto and to submit associated supporting materials; and
  - (2) A statement as to any designated U.S. representative of the agreement required by this chapter.

# §535.405. Organization of conference agreements.


Each conference agreement shall:

- (a) State that, at the request of any member, the conference shall engage the services of an independent neutral body to fully police the obligations of the conference and its members. The agreement must include a description of any such neutral body authority and procedures related thereto.
- (b) State affirmatively that the conference parties shall not engage in conduct prohibited by sections 10(c)(1) or 10(c)(3) of the Act (46 U.S.C. [41105(1)](/usc/46/41105.md?p=1) or [41105(3)](/usc/46/41105.md?p=3)).
- (c) Specify the procedures for consultation with shippers and for handling shippers' requests and complaints.
- (d) Include provisions for independent action in accordance with [§ 535.801](/cfr/46/535.801.md) of this part.

# §535.406. Modification of agreements.


The requirements of this section apply to all agreements except marine terminal agreements and assessment agreements.

- (a) Agreement modifications shall be filed in accordance with the provisions of §§ [535.401](/cfr/46/535.401.md), [535.402](/cfr/46/535.402.md), and [535.403](/cfr/46/535.403.md).
- (b) Agreement modifications shall be made by reprinting the entire page on which the matter being changed is published (“revised page”). The revised page shall indicate the consecutive denomination of the revision (e.g., “1st Revised Page 7”). Additional material may be published on a new original page. New original pages inserted between existing effective pages shall be numbered with an alpha suffix (e.g., a page inserted between page 7 and page 8 shall be numbered 7a).
- (c) Each revised page shall be accompanied by a duplicate page, submitted for illustrative purposes only, indicating the language being modified in the following manner:
  - (1) Language being deleted or superseded shall be struck through; and,
  - (2) New and initial or replacement language shall immediately follow the language being superseded and be underlined.
- (d) If a modification requires the relocation of the provisions of the agreement, such modification shall be accompanied by a revised Table of Contents page that shall indicate the new location of the provisions.