---
kind: "section"
citation: "46 C.F.R. § 535.401"
title: "46"
number: "535.401"
heading: "General requirements."
url: "https://uscodex.org/cfr/46/535.401"
---

# §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.

## Notes

### Amendments

[69 FR 64414, Nov. 4, 2004, as amended at 70 FR 10330, Mar. 3, 2005; 74 FR 50728, Oct. 1, 2009; 75 FR 29455, May 26, 2010; 81 FR 24705, Apr. 27, 2016; 81 FR 59145, Aug. 29, 2016; 83 FR 50295, Oct. 5, 2018; 85 FR 72578, Nov. 13, 2020; 88 FR 16898, Mar. 21, 2023]

### Authority

Authority: 5 U.S.C. 553; 46 U.S.C., 40101-40104, 40301-40307, 40501-40503, 40901-40904, 41101-41109, 41301-41302, and 41305-41307, 46105.

### Source

Source: 69 FR 64414, Nov. 4, 2004, unless otherwise noted.

### Amendments

[69 FR 64414, Nov. 4, 2004, as amended at 70 FR 10330, Mar. 3, 2005; 74 FR 50728, Oct. 1, 2009; 75 FR 29455, May 26, 2010; 81 FR 24705, Apr. 27, 2016; 81 FR 59145, Aug. 29, 2016; 83 FR 50295, Oct. 5, 2018; 85 FR 72578, Nov. 13, 2020; 88 FR 16898, Mar. 21, 2023]