cfr_sections
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59 rows where part_number = 535 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 46:46:9.0.1.2.16.1.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | A | Subpart A—General Provisions | § 535.101 Authority. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50727, Oct. 1, 2009] | The rules in this part are issued pursuant to the authority of section 4 of the Administrative Procedure Act (5 U.S.C. 553), sections 2, 3, 4, 5, 6, 7, 8, 10, 11, 13, 15, 16, 17, and 19 of the Shipping Act of 1984 (“the Act”) (46 U.S.C. 305, 40101-40104, 40301-40307, 40501-40503, 40901-40904, 41101-41109, 41301-41302, and 41305-41307), and the Ocean Shipping Reform Act of 1998, Pub. L. 105-258, 112 Stat. 1902. | |||
| 46:46:9.0.1.2.16.1.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | A | Subpart A—General Provisions | § 535.102 Purpose. | FMC | This part implements those provisions of the Act that govern agreements by or among ocean common carriers and agreements among marine terminal operators and among one or more marine terminal operators and one or more ocean common carriers. This part also sets forth more specifically certain procedures provided for in the Act. | ||||
| 46:46:9.0.1.2.16.1.1.3 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | A | Subpart A—General Provisions | § 535.103 Policies. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50727, Oct. 1, 2009] | (a) The Act requires that agreements be processed and reviewed, upon their initial filing, according to strict statutory deadlines. This part is intended to establish procedures for the orderly and expeditious review of filed agreements in accordance with the statutory requirements. (b) The Act requires that agreements be reviewed, upon their initial filing, to ensure compliance with all applicable provisions of the Act and empowers the Commission to obtain information to conduct that review. This part identifies those types of agreements that must be accompanied by information submissions when they are first filed, and sets forth the kind of information for certain agreements that the Commission believes relevant to that review. Only information that is relevant to such a review is requested. It is the policy of the Commission to keep the costs of regulation to a minimum and at the same time obtain information needed to fulfill its statutory responsibility. (c) To further the goal of expedited processing and review of agreements upon their initial filing, agreements are required to meet certain minimum requirements as to form. These requirements are intended to ensure expedited review and should assist parties in preparing agreements. These requirements as to form do not affect the substance of an agreement and are intended to allow parties the freedom to develop innovative commercial relationships and provide efficient and economic transportation systems. (d) The Act itself excludes certain agreements from the filing requirements and authorizes the Commission to exempt other classes of agreements from any requirement of the Act or this part. To minimize delay in the implementation of routine agreements and to avoid the private and public cost of unnecessary regulation, certain classes of agreements are exempt from the filing requirements of this part. (e) Under the regulatory framework established by the Act, the role of the Commission as a monitoring agency has been enhanced. The Act favors greater freedom… | |||
| 46:46:9.0.1.2.16.1.1.4 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | A | Subpart A—General Provisions | § 535.104 Definitions. | FMC | When used in this part: (a) Agreement means an understanding, arrangement, or association, written or oral (including any modification, cancellation or appendix) entered into by or among ocean common carriers and/or marine terminal operators, but does not include a maritime labor agreement. (b) Antitrust laws means the Act of July 2, 1890 (ch. 647, 26 Stat. 209), 15 U.S.C. 1, as amended; the Act of October 15, 1914 (ch. 323, 38 Stat. 730), 15 U.S.C. 12, as amended; the Federal Trade Commission Act (38 Stat. 717), 15 U.S.C. 41, as amended; sections 73 and 74 of the Act of August 27, 1894 (28 Stat. 570), 15 U.S.C. 8, 9, as amended; the Act of June 19, 1936 (ch. 592, 49 Stat. 1526), 15 U.S.C. 13, as amended; the Antitrust Civil Process Act (76 Stat. 548), 15 U.S.C. 1311, note as amended; and amendments and Acts supplementary thereto. (c) Appendix means a document containing additional material of limited application and appended to an agreement, distinctly differentiated from the main body of the basic agreement. (d) Assessment agreement means an agreement, whether part of a collective bargaining agreement or negotiated separately, that provides for collectively bargained fringe benefit obligations on other than a uniform man-hour basis regardless of the cargo handled or type of vessel or equipment utilized. (e) Capacity rationalization means a concerted reduction, stabilization, withholding, or other limitation in any manner whatsoever by ocean common carriers on the size or number of vessels or available space offered collectively or individually to shippers in any trade or service. (f) Common carrier means a person holding itself out to the general public to provide transportation by water of passengers or cargo between the United States and a foreign country for compensation that: (1) Assumes responsibility for the transportation from the port or point of receipt to the port or point of destination; and (2) Utilizes, for all or part of that transportation, a vessel operating on the high seas … | ||||
| 46:46:9.0.1.2.16.10.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | J | Subpart J—Paperwork Reduction | § 535.991 OMB control numbers assigned pursuant to the Paperwork Reduction Act. | FMC | This section displays the control number assigned to information collection requirements of the Commission in this part by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1995, Pub. L. 104-13. The Commission intends that this section comply with the requirements of section 3507(a)(3) of the Paperwork Reduction Act, which requires that agencies display a current control number assigned by the Director of the Office of Management and Budget (OMB) for each agency information collection requirement in the following table: | ||||
| 46:46:9.0.1.2.16.2.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | B | Subpart B—Scope | § 535.201 Subject agreements. | FMC | (a) Ocean common carrier agreements. This part applies to agreements by or among ocean common carriers to: (1) Discuss, fix, or regulate transportation rates, including through rates, cargo space accommodations, and other conditions of service; (2) Pool or apportion traffic, revenues, earnings, or losses; (3) Allot ports or restrict or otherwise regulate the number and character of sailings between ports; (4) Limit or regulate the volume or character of cargo or passenger traffic to be carried; (5) Engage in exclusive, preferential, or cooperative working arrangements among themselves or with one or more marine terminal operators; (6) Control, regulate, or prevent competition in international ocean transportation; or (7) Discuss and agree on any matter related to service contracts. (b) Marine terminal operator agreements. This part applies to agreements among marine terminal operators and among one or more marine terminal operators and one or more ocean carriers to: (1) Discuss, fix, or regulate rates or other conditions of service; or (2) Engage in exclusive, preferential, or cooperative working arrangements, to the extent that such agreements involve ocean transportation in the foreign commerce of the United States. | ||||
| 46:46:9.0.1.2.16.2.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | B | Subpart B—Scope | § 535.202 Non-subject agreements. | FMC | This part does not apply to the following agreements: (a) Any acquisition by any person, directly or indirectly, of any voting security or assets of any other person; (b) Any maritime labor agreement; (c) Any agreement related to transportation to be performed within or between foreign countries; (d) Any agreement among common carriers to establish, operate, or maintain a marine terminal in the United States; and (e) Any agreement among marine terminal operators that exclusively and solely involves transportation in the interstate commerce of the United States. | ||||
| 46:46:9.0.1.2.16.3.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.301 Exemption procedures. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50727, Oct. 1, 2009; 90 FR 26223, June 20, 2025] | (a) Authority. The Commission, upon application or its own motion, may by order or rule exempt for the future any class of agreement involving ocean common carriers and/or marine terminal operators from any requirement of the Act if it finds that the exemption will not result in substantial reduction in competition or be detrimental to commerce. (b) Optional filing. Notwithstanding any exemption from filing, or other requirements of the Act and this part, any party to an exempt agreement may file such an agreement with the Commission. (c) Application for exemption. Applications for exemptions shall conform to the general filing requirements for exemptions set forth at § 502.67 of this title. (d) Retention of agreement by parties. Any agreement that has been exempted by the Commission pursuant to section 16 of the Act (46 U.S.C. 40103) shall be retained by the parties and shall be available upon request by the Office of the General Counsel for inspection during the term of the agreement and for a period of three years after its termination. | |||
| 46:46:9.0.1.2.16.3.1.10 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.311 Low market share agreements—exemption. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 70 FR 20303, Apr. 19, 2005; 90 FR 26223, June 20, 2025] | (a) Low market share agreement means any agreement among ocean common carriers which contains none of the authorities listed in § 535.502(b) and for which the combined market share, based on cargo volume, of the parties in any of the agreement's sub-trades is either: (1) Less than 30 percent, if all parties are members of another agreement in the same trade or sub-trade containing any of the authorities listed in § 535.502(b); or (2) Less than 35 percent, if at least one party is not a member of another agreement in the same trade or sub-trade containing any of the authorities listed in § 535.502(b). (b) Low market share agreements are exempt from the waiting period requirement of the Act and this part, and are effective on filing. (c) Parties to agreements may seek a determination from the General Counsel, as to whether a proposed agreement meets the general definition of a low market share agreement. (d) The filing fee for low market share agreements is provided in § 535.401(g). | |||
| 46:46:9.0.1.2.16.3.1.11 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.312 Vessel charter party-exemption. | FMC | (a) For purposes of this section, vessel charter party shall mean a contractual agreement between two ocean common carriers for the charter of the full reach of a vessel, which agreement sets forth the entire terms and conditions (including duration, charter hire, and geographical or operational limitations, if any) under which the vessel will be employed. (b) Vessel charter parties, as defined in paragraph (a) of this section, are exempt from the filing requirements of the Act and this part. (c) The filing fee for optional filing of vessel charter parties is provided in § 535.401(g). | ||||
| 46:46:9.0.1.2.16.3.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.302 Exemptions for certain modifications of effective agreements. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50727, Oct. 1, 2009; 90 FR 26223, June 20, 2025] | (a) Non-substantive modifications to effective agreements. A non-substantive modification to an effective agreement between ocean common carriers and/or marine terminal operators, acting individually or through approved agreements, is one which: (1) Reflects changes in the name of any geographic locality stated therein, the name of the agreement or the name of a party to the agreement, the names and/or numbers of any other section 4 agreement (46 U.S.C. 40301(a)-(c)) or designated provisions thereof referred to in an agreement; (2) Corrects typographical and grammatical errors in the text of the agreement or renumbers or reletters articles or sub-articles of agreements and references thereto in the text; or (3) Reflects changes in the titles of persons or committees designated therein or transfers the functions of such persons or committees to other designated persons or committees or which merely establishes a committee. (b) Other Miscellaneous Modifications to effective agreements. A miscellaneous modification to an effective agreement is one that: (1) Cancels the agreement or a portion thereof; (2) Deletes an agreement party; (3) Changes the parties to a conference agreement or a discussion agreement among passenger vessel operating common carriers that is open to all ocean common carriers operating passenger vessels of a class defined in the agreements and that does not contain ratemaking, pooling, joint service, sailing or space chartering authority; or (4) Changes the officials of the agreement and delegations of authority. (c) A copy of a modification described in (a) or (b) of this section shall be submitted to the Commission but is otherwise exempt from the waiting period requirement of the Act and this part. (d) Parties to agreements may seek a determination from the General Counsel as to whether a particular modification is a non-substantive or other miscellaneous modification within the meaning of this section. (e) The filing fee for non-substantive or other miscellaneous modifications is p… | |||
| 46:46:9.0.1.2.16.3.1.3 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.303 Husbanding agreements—exemption. | FMC | (a) A husbanding agreement is an agreement between an ocean common carrier and another ocean common carrier or marine terminal operator, acting as the former's agent, under which the agent handles routine vessel operating activities in port, such as notifying port officials of vessel arrivals and departures; ordering pilots, tugs, and linehandlers; delivering mail; transmitting reports and requests from the Master to the owner/operator; dealing with passenger and crew matters; and providing similar services related to the above activities. The term does not include an agreement that provides for the solicitation or booking of cargoes, signing contracts or bills of lading and other related matters, nor does it include an agreement that prohibits the agent from entering into similar agreements with other carriers. (b) A husbanding agreement is exempt from the filing requirements of the Act and of this part. (c) The filing fee for optional filing of husbanding agreements is provided in § 535.401(g). | ||||
| 46:46:9.0.1.2.16.3.1.4 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.304 Agency agreements—exemption. | FMC | (a) An agency agreement is an agreement between an ocean common carrier and another ocean common carrier or marine terminal operator, acting as the former's agent, under which the agent solicits and books cargoes and signs contracts of affreightment and bills of lading on behalf of the ocean common carrier. Such an agreement may or may not also include husbanding service functions and other functions incidental to the performance of duties by agents, including processing of claims, maintenance of a container equipment inventory control system, collection and remittance of freight and reporting functions. (b) An agency agreement as defined above is exempt from the filing requirements of the Act and of this part, except those: (1) Where a common carrier is to be the agent for a competing ocean common carrier in the same trade; or (2) That permit an agent to enter into similar agreements with more than one ocean common carrier in a trade. (c) The filing fee for optional filing of agency agreements is provided in § 535.401(g). | ||||
| 46:46:9.0.1.2.16.3.1.5 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.305 Equipment interchange agreements—exemption. | FMC | (a) An equipment interchange agreement is an agreement between two or more ocean common carriers for: (1) The exchange of empty containers, chassis, empty LASH/SEABEE barges, and related equipment; and (2) The transportation of the equipment as required, payment therefor, management of the logistics of transferring, handling and positioning equipment, its use by the receiving carrier, its repair and maintenance, damages thereto, and liability incidental to the interchange of equipment. (b) An equipment interchange agreement is exempt from the filing requirements of the Act and of this part. (c) The filing fee for optional filing of equipment interchange agreements is provided in § 535.401(g). | ||||
| 46:46:9.0.1.2.16.3.1.6 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.306 Nonexclusive transshipment agreements—exemption. | FMC | (a) A nonexclusive transshipment agreement is a transshipment agreement by which one ocean common carrier serving a port of origin by direct vessel call and another such carrier serving a port of destination by direct vessel call provide transportation between such ports via an intermediate port served by direct vessel call of both such carriers and at which cargo will be transferred from one to the other and which agreement does not: (1) Prohibit either carrier from entering into similar agreements with other carriers; (2) Guarantee any particular volume of traffic or available capacity; or (3) Provide for the discussion or fixing of rates for the account of the cargo interests, conditions of service or other tariff matters other than the tariff description of the service offered as being by means of transshipment, the port of transshipment and the participation of the nonpublishing carrier. (b) A nonexclusive transshipment agreement is exempt from the filing requirements of the Act and of this part, provided that the tariff provisions set forth in paragraph (c) of this section and the content requirements of paragraph (d) of this section are met. (c) The applicable tariff or tariffs shall provide: (1) The through rate; (2) The routings (origin, transshipment and destination ports); additional charges, if any ( i.e. port arbitrary and/or additional transshipment charges); and participating carriers; and (3) A tariff provision substantially as follows: The rules, regulations, and rates in this tariff apply to all transshipment arrangements between the publishing carrier or carriers and the participating, connecting or feeder carrier. Every participating connecting or feeder carrier which is a party to transshipment arrangements has agreed to observe the rules, regulations, rates, and routings established herein as evidenced by a connecting carrier agreement between the parties. (d) Nonexclusive transshipment agreements must contain the entire arrangement between the parties, must contain a declaration … | ||||
| 46:46:9.0.1.2.16.3.1.7 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.307 Agreements between or among wholly-owned subsidiaries and/or their parent—exemption. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50728, Oct. 1, 2009] | (a) An agreement between or among wholly-owned subsidiaries and/or their parent means an agreement under section 4 of the Act (46 U.S.C. 40301(a)-(c)) between or among an ocean common carrier or marine terminal operator subject to the Act and any one or more ocean common carriers or marine terminal operators which are ultimately owned 100 percent by that ocean common carrier or marine terminal operator, or an agreement between or among such wholly-owned carriers or terminal operators. (b) All agreements between or among wholly-owned subsidiaries and/or their parent are exempt from the filing requirements of the Act and this part. (c) Ocean common carriers are exempt from section 10(c) of the Act (46 U.S.C. 41105) to the extent that the concerted activities proscribed by that section result solely from agreements between or among wholly-owned subsidiaries and/or their parent. (d) The filing fee for optional filing of these agreements is provided in § 535.401(g). | |||
| 46:46:9.0.1.2.16.3.1.8 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.309 Marine terminal services agreements—exemption. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 65036, Dec. 9, 2009] | (a) Marine terminal services agreement means an agreement, contract, understanding, arrangement, or association, written or oral, (including any modification or appendix) between a marine terminal operator and an ocean common carrier that applies to marine terminal services that are provided to and paid for by an ocean common carrier. These services include: checking, dockage, free time, handling, heavy lift, loading and unloading, terminal storage, usage, wharfage, and wharf demurrage and including any marine terminal facilities that may be provided incidentally to such marine terminal services. The term marine terminal services agreement does not include any agreement that conveys to the involved carrier any rights to operate any marine terminal facility by means of a lease, license, permit, assignment, land rental, or similar other arrangement for the use of marine terminal facilities or property. (b) All marine terminal services agreements as defined in § 535.309(a) are exempt from the filing and waiting period requirements of the Act and this part on condition that: (1) They do not include rates, charges, rules, and regulations that are determined through a marine terminal conference agreement. Marine terminal conference agreement means an agreement between or among two or more marine terminal operators and/or ocean common carriers for the conduct or facilitation of marine terminal operations that provides for the fixing of and adherence to uniform maritime terminal rates, charges, practices and conditions of service relating to the receipt, handling, and/or delivery of passengers or cargo for all members; and (2) No antitrust immunity is conferred under the Act with regard to terminal services provided to an ocean common carrier under a marine terminal services agreement that is not filed with the Commission. (c) The filing fee for optional filing of terminal services agreements is provided in § 535.401(g). | |||
| 46:46:9.0.1.2.16.3.1.9 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | C | Subpart C—Exemptions | § 535.310 Marine terminal facilities agreement—exemption. | FMC | (a) Marine terminal facilities agreement means any agreement between or among two or more marine terminal operators, or between one or more marine terminal operators and one or more ocean common carriers, to the extent that the agreement involves ocean transportation in the foreign commerce of the United States, that conveys to any of the involved parties any rights to operate any marine terminal facility by means of lease, license, permit, assignment, land rental, or other similar arrangement for the use of marine terminal facilities or property. (b) All marine terminal facilities agreements as defined in § 535.310(a) are exempt from the filing and waiting period requirements of the Act and this part. (c) Parties to marine terminal facilities agreements currently in effect shall provide copies to any requesting party for a reasonable copying and mailing fee. (d) The filing fee for optional filing of terminal facilities agreements is provided in § 535.401(g). | ||||
| 46:46:9.0.1.2.16.4.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | D | Subpart D—Filing of Agreements | § 535.401 General requirements. | FMC | [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] | (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, 40306, 41307(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 fili… | |||
| 46:46:9.0.1.2.16.4.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | D | Subpart D—Filing of Agreements | § 535.402 Complete and definite agreements. | FMC | 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. | ||||
| 46:46:9.0.1.2.16.4.1.3 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | D | Subpart D—Filing of Agreements | § 535.403 Form of agreements. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 81 FR 24706, Apr. 27, 2016] | 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. | |||
| 46:46:9.0.1.2.16.4.1.4 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | D | Subpart D—Filing of Agreements | § 535.404 Agreement provisions. | FMC | 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. | ||||
| 46:46:9.0.1.2.16.4.1.5 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | D | Subpart D—Filing of Agreements | § 535.405 Organization of conference agreements. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50728, Oct. 1, 2009] | 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) or 41105(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 of this part. | |||
| 46:46:9.0.1.2.16.4.1.6 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | D | Subpart D—Filing of Agreements | § 535.406 Modification of agreements. | FMC | 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, 535.402, and 535.403. (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. | ||||
| 46:46:9.0.1.2.16.4.1.7 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | D | Subpart D—Filing of Agreements | § 535.407 Application for waiver. | FMC | (a) Upon a showing of good cause, the Commission may waive the requirements of §§ 535.401, 535.403, 535.404, 535.405, and 535.406. (b) Requests for such a waiver shall be submitted in advance of the filing of the agreement to which the requested waiver would apply and shall state: (1) The specific provisions from which relief is sought; (2) The special circumstances requiring the requested relief; and (3) Why granting the requested waiver will not substantially impair effective review of the agreement. | ||||
| 46:46:9.0.1.2.16.4.1.8 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | D | Subpart D—Filing of Agreements | § 535.408 Activities that may be conducted without further filings. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50728, Oct. 1, 2009] | (a) Agreements that arise from authority of an effective agreement but whose terms are not fully set forth in the effective agreement to the extent required by § 535.402 are permitted without further filing only if they: (1) Are themselves exempt from the filing requirements of this part (pursuant to subpart C—Exemptions of this part); or (2) Are listed in paragraph (b) of this section. (b) Unless otherwise exempt in subpart C of this part, only the following technical or operational matters of an agreement's affairs established pursuant to express enabling authority in an agreement are considered part of the effective agreement and do not require further filing under section 5 of the Act (46 U.S.C. 40301(d)-(e), 40302-40303, 40305): (1) Establishment of tariff rates, rules and regulations and their joint publication; (2) The terms and conditions of space allocation and slot sales, the procedures for allocating space, the establishment of space charter rates, and the terms and conditions of charter parties; (3) Stevedoring, terminal, and related services including the operation of tonnage centers or other joint container marshaling facilities; (4) The following administrative matters: (i) Scheduling of agreement meetings; (ii) Collection, collation and circulation of data and reports from or to members; (iii) Procurement, maintenance, or sharing of office facilities, furnishings, equipment and supplies, the allocation and assessment of costs thereof, or the provisions for the administration and management of such agreements by duly appointed individuals; (iv) Procedures for anticipating parties' space requirements; (v) Maintenance of books and records; and (vi) Details as to the following matters as between parties to the agreement: insurance, procedures for resolutions of disputes relating to loss and/or damage of cargo, and force majeure clauses; (5) The following operational matters: (i) Port rotations and schedule adjustments; and (ii) Changes in vessel size, number of vessels, or vessel subst… | |||
| 46:46:9.0.1.2.16.5.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | E | Subpart E—Information Form Requirements | § 535.501 General requirements. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 81 FR 24706, Apr. 27, 2016; 90 FR 26223, June 20, 2025] | (a) Agreements and modifications to agreements identified in § 535.502 shall be accompanied by an Information Form containing information and data on the agreement and the parties' authority under the agreement. (b) Parties to an agreement subject to this subpart shall complete and submit an original and five copies of the Information Form at the time the agreement is filed. A copy of the Form in Microsoft Word and Excel format may be downloaded from the Commission's home page at http://www.fmc.gov, or a paper copy of the Form may be obtained from the Commission. In lieu of submitting paper copies, parties may complete and submit their Information Form in the Commission's prescribed electronic format, either on diskette or CD-ROM, or submit the Information Form using the automated agreement filing system in accordance with the instructions found on the Commission's home page, http://www.fmc.gov. (c) A complete response in accordance with the instructions on the Information Form shall be supplied to each item. If a party to the agreement is unable to supply a complete response, that party shall provide either estimated data (with an explanation of why precise data are not available) or a detailed statement of reasons for noncompliance and the efforts made to obtain the required information. (d) Agreement parties may supplement the Information Form with any additional information or material to assist the Commission's review of an agreement. (e) The Information Form and any additional information submitted in conjunction with the filing of an agreement shall not be disclosed by the Commission except as provided in § 535.608. | |||
| 46:46:9.0.1.2.16.5.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | E | Subpart E—Information Form Requirements | § 535.502 Agreements subject to the Information Form requirements. | FMC | Agreements and modifications to agreements between or among ocean common carriers subject to this subpart are: (a) All agreements identified in § 535.201(a), except for low market share agreements identified in § 535.311; (b) Modifications to an agreement that add any of the following authorities: (1) The discussion of, or agreement upon, whether on a binding basis under a common tariff or a non-binding basis, any kind of rate or charge; (2) The discussion of, or agreement on, capacity rationalization; (3) The establishment of a joint service; (4) The pooling or division of cargo traffic, earnings, or revenues and/or losses; or (5) The discussion of, or agreement on, any service contract matter; and (c) Modifications that expand the geographic scope of an agreement containing any authority identified in § 535.502(b). | ||||
| 46:46:9.0.1.2.16.5.1.3 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | E | Subpart E—Information Form Requirements | § 535.503 Information Form. | FMC | (a) The Information Form, with instructions, for agreements and modifications to agreements subject to this subpart, are set forth in sections I through V of appendix A of this part. The instructions should be read in conjunction with the Act and this part. (b) The Information Form shall apply as follows: (1) Sections I and V shall be completed by parties to all agreements identified in § 535.502; (2) Section II shall be completed by parties to agreements identified in § 535.502(a) that contain any of the following authorities: the charter or use of vessel space in exchange for compensation or services; or the rationalization of sailings or services relating to a schedule of ports, the frequency of vessel calls at ports, or the size and capacity of vessels for deployment. Such authorities do not include the establishment of a joint service, nor capacity rationalization; (3) Section III shall be completed by parties to agreements identified in § 535.502 that contain the authority to discuss or agree on capacity rationalization; and (4) Section IV shall be completed by parties to agreements identified in § 535.502 that contain any of the following authorities: (i) The discussion of, or agreement upon, whether on a binding basis under a common tariff or a non-binding basis, any kind of rate or charge; (ii) The establishment of a joint service; (iii) The pooling or division of cargo traffic, earnings, or revenues and/or losses; or (iv) The discussion of, or agreement on, any service contract matter. | ||||
| 46:46:9.0.1.2.16.5.1.4 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | E | Subpart E—Information Form Requirements | § 535.504 Application for waiver. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 90 FR 26223, June 20, 2025] | (a) Upon a showing of good cause, the Commission may waive any part of the Information Form requirements in this subpart. (b) A request for such a waiver must be submitted and approved by the Commission in advance of the filing of the Information Form to which the requested waiver would apply. Requests for a waiver shall be submitted in writing to the General Counsel, Federal Maritime Commission, Washington, DC 20573-0001, and shall state: (1) The specific requirements from which relief is sought; (2) The special circumstances requiring the requested relief; (3) Relevant trade and industry data and information to substantiate and support the special circumstances requiring the requested relief; (4) Why granting the requested waiver will not substantially impair effective review of the agreement; and (5) A description of the full membership, geographic scope, and authority of the agreement or the agreement modification that is to be filed with the Commission. (c) The Commission may take into account the presence or absence of shipper complaints as well as the past compliance of the agreement parties with any reporting requirement under this part in considering an application for a waiver. | |||
| 46:46:9.0.1.2.16.6.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.601 Preliminary review-rejection of agreements. | FMC | (a) The Commission shall make a preliminary review of each filed agreement to determine whether the agreement is in compliance with the requirements of the Act and this part and, where applicable, whether the accompanying Information Form is complete or, where not complete, whether the deficiency is adequately explained or is excused by a waiver granted by the Commission under § 535.504. (b)(1) The Commission shall reject any agreement that fails to comply substantially with the filing and Information Form of the Act and this part. The Commission shall notify the filing party in writing of the reason for rejection of the agreement. The original filing, along with any supplemental information or documents submitted, shall be returned to the filing party. (2) Should a rejected agreement be refiled, the full 45-day waiting period will apply to the refiled agreement. | ||||
| 46:46:9.0.1.2.16.6.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.602 Federal Register notice. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 85 FR 9684, Feb. 20, 2020] | (a) A notice of any filed agreement will be transmitted to the Federal Register within seven days of the date of filing. (b) The notice will include: (1) A short title for the agreement; (2) The identity of the parties to the agreement and the filing party; (3) The Federal Maritime Commission agreement number; (4) A concise summary of the agreement's contents; (5) A statement that the agreement is available for inspection at the Commission's offices; and (6) A request for comments, including relevant information and documents, regarding the agreement and the date by which comments should be submitted in order to be most useful to the Commission's review of the agreement. | |||
| 46:46:9.0.1.2.16.6.1.3 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.603 Comment. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 85 FR 9684, Feb. 20, 2020] | (a) Persons may file with the Secretary written comments, including relevant information and documents, regarding a filed agreement. Commenters may submit the comment by email to secretary@fmc.gov or deliver to Secretary, Federal Maritime Commission, 800 N Capitol St. NW, Washington, DC 20573-0001. The Commission will treat such comments as confidential in accordance with § 535.608. (b) The filing of a comment does not entitle a person to: (1) A reply to the comment by the Commission; (2) The institution of any Commission or court proceeding; (3) Discussion of the comment in any Commission or court proceeding concerning the filed agreement; or (4) Participation in any proceeding that may be instituted. | |||
| 46:46:9.0.1.2.16.6.1.4 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.604 Waiting period. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50728, Oct. 1, 2009; 74 FR 65036, Dec. 9, 2009] | (a) The waiting period before an agreement becomes effective shall commence on the date that an agreement is filed with the Commission. (b) Unless suspended by a request for additional information or extended by court order, the waiting period terminates and an agreement becomes effective on the later of the 45th day after the filing of the agreement with the Commission or on the 30th day after publication of notice of the filing in the Federal Register. (c) The waiting period is suspended on the date when the Commission, either orally or in writing, requests additional information or documentary materials pursuant to section 6(d) of the Act (46 U.S.C. 40304(d)). A new 45-day waiting period begins on the date of receipt of all the additional material requested or of a statement of the reasons for noncompliance, and the agreement becomes effective in 45 days unless the waiting period is further extended by court order or the Commission grants expedited review. | |||
| 46:46:9.0.1.2.16.6.1.5 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.605 Requests for expedited review. | FMC | (a) Upon written request of the filing party, the Commission may shorten the waiting period. In support of a request, the filing party should provide a full explanation, with reference to specific facts and circumstances, of the necessity for a shortened waiting period. In reviewing requests, the Commission will consider the parties' needs and the Commission's ability to complete its review of the agreement's potential impact. In no event, however, may the period be shortened to less than fourteen (14) days after the publication of the notice of the filing of the agreement in the Federal Register. When a request for expedited review is denied, the normal 45-day waiting period will apply. Requests for expedited review will not be granted routinely and will be granted only on a showing of good cause. Good cause would include, but is not limited to, the impending expiration of the agreement; an operational urgency; Federal or State imposed time limitations; or other reasons that, in the Commission's discretion, constitute grounds for granting the request. (b) A request for expedited review will be considered for an agreement whose 45-day waiting period has begun anew after being stopped by a request for additional information. | ||||
| 46:46:9.0.1.2.16.6.1.6 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.606 Requests for additional information. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50728, Oct. 1, 2009; 90 FR 26223, June 20, 2025] | (a) The Commission may request from the filing party any additional information and documents necessary to complete the statutory review required by the Act. The request shall be made prior to the expiration of the 45-day waiting period. All responses to a request for additional information shall be submitted to the Office of the General Counsel, Federal Maritime Commission, Washington, DC 20573. (b) Where the Commission has made a request for additional information, the agreement's effective date will be 45 days after receipt of the complete response to the request for additional information. If all questions are not fully answered or requested documents are not supplied, the parties must include a statement of reasons why questions were not fully answered or documents supplied. In the event all material is not submitted, the agreement's effective date will be 45 days after receipt of both the documents and information which are submitted, if any, and the statement indicating the reasons for noncompliance. The Commission may, upon notice to the Attorney General, and pursuant to sections 6(i) and 6(k) of the Act (46 U.S.C. 41307(c) and 41307(d)), request the United States District Court for the District of Columbia to further extend the agreement's effective date until there has been substantial compliance. (c) A request for additional information may be made orally or in writing. In the case of an oral request, a written confirmation of the request shall be mailed to the filing party within seven days of the oral request. (d) The Commission will publish a notice in the Federal Register that it has requested additional information and serve that notice on any commenting parties. The notice will indicate only that a request was made and will not specify what information is being sought. Interested parties will have fifteen (15) days after publication of the notice to file further comments on the agreement. | |||
| 46:46:9.0.1.2.16.6.1.7 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.607 Failure to comply with requests for additional information. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50729, Oct. 1, 2009] | (a) A failure to comply with a request for additional information results when a person filing an agreement, or an officer, director, partner, agent, or employee thereof fails to substantially respond to the request or does not file a satisfactory statement of reasons for noncompliance. An adequate response is one which directly addresses the Commission's request. When a response is not received by the Commission within a specified time, failure to comply will have occurred. (b) The Commission may, pursuant to section 6(i) of the Act (46 U.S.C. 41307(c)), request relief from the United States District Court for the District of Columbia when it considers that there has been a failure to substantially comply with a request for additional information. The Commission may request that the court: (1) Order compliance with the request; (2) Extend the review period until there has been substantial compliance; or (3) Grant other equitable relief that under the circumstances seems necessary or appropriate. (c) Where there has been a failure to substantially comply, section 6(i)(2) of the Act (46 U.S.C. 41307(c)(2)) provides that the court shall extend the review period until there has been substantial compliance. | |||
| 46:46:9.0.1.2.16.6.1.8 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.608 Confidentiality of submitted material. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50729, Oct. 1, 2009; 85 FR 9684, Feb. 20, 2020] | (a) Except for an agreement filed under 46 U.S.C. ch. 403, all information and documents submitted to the Commission by the filing party(ies) or third parties regarding an agreement will be exempt from disclosure under 5 U.S.C. 552. Included in this disclosure exemption is information provided in the Information Form, voluntary submission of additional information, reasons for noncompliance, replies to requests for additional information, and third-party comments. (b) Information that is confidential pursuant to paragraph (a) of this section may be disclosed, however, to the extent: (1) It is relevant to an administrative or judicial action or proceeding; or (2) It is disclosed to either body of Congress or to a duly authorized committee or subcommittee of Congress. (c) Parties may voluntarily disclose or make information publicly available. If parties elect to disclose information they shall promptly inform the Commission. | |||
| 46:46:9.0.1.2.16.6.1.9 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | F | Subpart F—Action on Agreements | § 535.609 Negotiations. | FMC | At any time after the filing of an agreement and prior to the conclusion of judicial injunctive proceedings, the filing party or an authorized representative may submit additional factual or legal support for an agreement or may propose modifications of an agreement. Such negotiations between Commission personnel and filing parties may continue during the pendency of injunctive proceedings. Shippers, other government departments or agencies, and other third parties may not participate in these negotiations. | ||||
| 46:46:9.0.1.2.16.7.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | G | Subpart G—Reporting Requirements | § 535.701 General requirements. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 90 FR 26223, June 20, 2025] | (a) Parties to agreements identified in § 535.702(a) shall submit quarterly Monitoring Reports on an ongoing basis for as long as the agreement remains in effect, containing information and data on the agreement and the parties' authority under the agreement. (b) Parties to agreements identified in § 535.704 are required to submit minutes of their meetings for as long as their agreements remain in effect. (c) If a joint service is a party to an agreement that is subject to the requirements of this subpart, the joint service shall be treated as one member of that agreement for purposes of that agreement's Monitoring Reports. (d) Monitoring Reports and minutes required to be filed by this subpart should be submitted to: General Counsel, Federal Maritime Commission, Washington, DC 20573-0001. A copy of the Monitoring Report form in Microsoft Word and Excel format may be downloaded from the Commission's home page at http://www.fmc.gov , or a paper copy may be obtained from theCommission. In lieu of submitting paper copies, parties may complete and submit their Monitoring Reports in the Commission's prescribed electronic format, either on diskette or CD-ROM. (e)(1) The regulations in this paragraph (e) are stayed until further notice. (2) Reports and minutes required to be filed by this subpart may be filed by direct electronic transmission in lieu of hard copy. Detailed information on electronic transmission is available from the Commission's Bureau of Trade Analysis. Certification and signature requirements of this subpart can be met on electronic transmissions through use of a pre-assigned Personal Identification Number (PIN) obtained from the Commission. PINs can be obtained by submission by an official of the filing party of a statement to the Commission agreeing that inclusion of the PIN in the transmission constitutes the signature of the official. Only one PIN will be issued for each agreement. Where a filing party has more than one official authorized to file minutes or reports, each additional official… | |||
| 46:46:9.0.1.2.16.7.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | G | Subpart G—Reporting Requirements | § 535.702 Agreements subject to Monitoring Report and alternative periodic reporting requirements. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 90 FR 26223, June 20, 2025] | (a) Agreements subject to the Monitoring Report requirements of this subpart are: (1) An agreement that contains the authority to discuss or agree on capacity rationalization; or (2) Where the parties to an agreement hold a combined market share, based on cargo volume, of 35 percent or more in the entire U.S. inbound or outbound geographic scope of the agreement and the agreement contains any of the following authorities: (i) The discussion of, or agreement upon, whether on a binding basis under a common tariff or a non-binding basis, any kind of rate or charge; (ii) The establishment of a joint service; (iii) The pooling or division of cargo traffic, earnings, or revenues and/or losses; or (iv) The discussion of, or agreement on, any service contract matter. (b) The determination of an agreement's reporting obligation under § 535.702(a)(2) in the first instance shall be based on the market share data reported on the agreement's Information Form pursuant to § 535.503. Thereafter, at the beginning of each calendar year, the Office of the General Counsel will notify the agreement parties of any changes in its reporting requirements based on market share data reported on the agreement's quarterly Monitoring Report for the previous second quarter (April-June). (c) The Commission may require, as necessary, that the parties to an agreement with market share below the 35 percent threshold, as identified and defined in § 535.702(a)(2), submit Monitoring Reports pursuant to § 535.703. (d) In addition to or instead of the Monitoring Report in § 535.703, the Commission may prescribe, as necessary, alternative periodic reporting requirements for parties to any agreement identified in § 535.201. | |||
| 46:46:9.0.1.2.16.7.1.3 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | G | Subpart G—Reporting Requirements | § 535.703 Monitoring Report form. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 90 FR 26223, June 20, 2025] | (a) For agreements subject to the Monitoring Report requirements in § 535.702(a), the Monitoring Report form, with instructions, is set forth in sections I through III of appendix B of this part. The instructions should be read in conjunction with the Act and this part. (b) The Monitoring Report shall apply as follows: (1) Section I shall be completed by parties to agreements identified in § 535.702(a)(1); (2) Section II shall be completed by parties to agreements identified in § 535.702(a)(2); and (3) Section III shall be completed by parties to all agreements identified in § 535.702(a). (c) In accordance with the requirements and instructions in appendix B of this part, parties to an agreement subject to part 2(C) of section I of the Monitoring Report shall submit a narrative statement on any significant reductions in vessel capacity that the parties will implement under the agreement. The term “a significant reduction” is defined in appendix B. The narrative statement shall be submitted to the Office of the General Counsel, no later than 15 days after a significant reduction in vessel capacity has been agreed upon by the parties but prior to the implementation of the actual reduction under the agreement. (d)(1) The Commission may require, in its discretion, that the information on the top agreement commodities in part 4 of section II of the Monitoring Report be reported on a sub-trade basis, as defined in appendix B of this part, rather than on an agreement-wide basis. When commodity sub-trade information is required under this section, the Commission shall notify the parties to the agreement. (2) For purposes of § 535.703(d)(1), the top agreement commodities shall mean the top 10 liner commodities (including commodities not subject to tariff publication) carried by all the agreement parties in each sub-trade within the geographic scope of the agreement during the calendar quarter. Where the agreement covers both U.S. inbound and outbound liner movements, inbound and outbound sub-trades shall be stated … | |||
| 46:46:9.0.1.2.16.7.1.4 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | G | Subpart G—Reporting Requirements | § 535.704 Filing of minutes. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 70 FR 20303, Apr. 19, 2005] | (a) Agreements required to file minutes. (1) This section applies to agreements authorized to engage in any of the following activities: discussion or establishment of any type of rates or charges, whether in tariffs or service contracts; pooling or apportionment of cargo traffic; discussion of revenues, losses, or earnings; or discussion or agreement on service contract matters, including the establishment of voluntary service contract guidelines. (2) Each agreement to which this section applies shall file with the Commission, through a designated official, minutes of all meetings defined in paragraph (b) of this section, except as provided in paragraph (d) of this section. (b) Meetings. For purposes of this subpart, the term meeting shall include all discussions at which any agreement is reached among any number of the parties to an agreement relating to the business of the agreement, and all other discussions among three or more members of the agreement (or all members if fewer than three) relating to the business of the agreement. This includes, but is not limited to, meetings of the members' agents, principals, owners, officers, employees, representatives, committees, or subcommittees, and communications among members facilitated by agreement officials. Discussions conducted by telephone, electronic device, or other means are included. (c) Content of minutes. Minutes shall include the following: (1) The date, time, and place of the meeting; (2) A list of participants and companies represented; (3) A description of discussions detailed enough so that a non-participant reading the minutes could reasonably gain a clear understanding of the nature and extent of the discussions and, where applicable, any decisions reached. Such description need not disclose the identity of the parties that participated in the discussion or the votes taken; and (4) Any report, circular, notice, statistical compilation, analytical study, survey, or other work distributed, discussed, or exchanged at the meeting, whether… | |||
| 46:46:9.0.1.2.16.7.1.5 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | G | Subpart G—Reporting Requirements | § 535.705 Application for waiver. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 90 FR 26223, June 20, 2025] | (a) Upon a showing of good cause, the Commission may waive any requirement of this subpart. (b) A request for such a waiver must be submitted and approved by the Commission in advance of the filing of the Monitoring Report or minutes to which the requested waiver would apply. Requests for a waiver shall be submitted in writing to the General Counsel, Federal Maritime Commission, Washington, DC 20573-0001, and shall state and provide the following: (1) The specific requirements from which relief is sought; (2) The special circumstances requiring the requested relief; (3) Relevant trade and industry data and information to substantiate and support the special circumstances requiring the requested relief; and (4) Why granting the requested waiver will not substantially impair effective monitoring of the agreement. (c) The Commission may take into account the presence or absence of shipper complaints as well as the past compliance of the agreement parties with any reporting requirement under this part in considering an application for a waiver. | |||
| 46:46:9.0.1.2.16.8.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | H | Subpart H—Mandatory and Prohibited Provisions | § 535.801 Independent action. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50729, Oct. 1, 2009] | (a) Each conference agreement shall specify the independent action (“IA”) procedures of the conference, which shall provide that any conference member may take independent action on any rate or service item upon not more than 5 calendar days' notice to the conference and shall otherwise be in conformance with section 5(b)(8) of the Act (46 U.S.C. 40303(b)(8)). (b)(1) Each conference agreement that provides for a period of notice for independent action shall establish a fixed or maximum period of notice to the conference. A conference agreement shall not require or permit a conference member to give more than 5 calendar days' notice to the conference, except that in the case of a new or increased rate the notice period shall conform to the tariff publication requirements of this chapter. (2) A conference agreement shall not prescribe notice periods for adopting, withdrawing, postponing, canceling, or taking other similar actions on independent actions. (c) Each conference agreement shall indicate the conference official, single designated representative, or conference office to which notice of independent action is to be provided. A conference agreement shall not require notice of independent action to be given by the proposing member to the other parties to the agreement. (d) A conference agreement shall not require a member who proposes independent action to attend a conference meeting, to submit any further information other than that necessary to accomplish the publication of the independent tariff item, or to comply with any other procedure for the purpose of explaining, justifying, or compromising the proposed independent action. (e) A conference agreement shall specify that any new rate or service item proposed by a member under independent action (except for exempt commodities not published in the conference tariff) shall be included by the conference in its tariff for use by that member effective no later than 5 calendar days after receipt of the notice and by any other member that notifies the confe… | |||
| 46:46:9.0.1.2.16.8.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | H | Subpart H—Mandatory and Prohibited Provisions | § 535.802 Service contracts. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50729, Oct. 1, 2009; 90 FR 26223, June 20, 2025] | (a) Ocean common carrier agreements may not prohibit or restrict a member or members of the agreement from engaging in negotiations for service contracts with one or more shippers. (b) Ocean common carrier agreements may not require a member or members of the agreement to disclose a negotiation on a service contract, or the terms and conditions of a service contract, other than those terms or conditions required by section 8(c)(3) of the Act (46 U.S.C. 40502(d)). (c) Ocean common carrier agreements may not adopt mandatory rules or requirements affecting the right of an agreement member or agreement members to negotiate or enter into service contracts. (d) An agreement may provide authority to adopt voluntary guidelines relating to the terms and procedures of an agreement member's or agreement members' service contracts if the guidelines explicitly state the right of the members of the agreement not to follow these guidelines. (e) Voluntary guidelines shall be submitted to the Office of the General Counsel, Federal Maritime Commission, Washington, DC 20573-0001. Voluntary guidelines shall be kept confidential in accordance with § 535.608 of this part. Use of voluntary guidelines prior to their submission is prohibited. | |||
| 46:46:9.0.1.2.16.8.1.3 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | H | Subpart H—Mandatory and Prohibited Provisions | § 535.803 Ocean freight forwarder compensation. | FMC | No conference or group of two or more ocean common carriers may: (a) Deny to any member of such conference or group the right, upon notice of not more than 5 calendar days, to take independent action on any level of compensation paid to an ocean freight forwarder; or (b) Agree to limit the payment of compensation to an ocean freight forwarder to less than 1.25 percent of the aggregate of all rates and charges applicable under the tariff assessed against the cargo on which the forwarding services are provided. | ||||
| 46:46:9.0.1.2.16.9.1.1 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | I | Subpart I—Penalties | § 535.901 Failure to file. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50729, Oct. 1, 2009] | Any person operating under an agreement, involving activities subject to the Act pursuant to sections 4 and 5(a) of the Act (46 U.S.C. 40301(a)-(c) and 40302) and this part and not exempted pursuant to section 16 of the Act (46 U.S.C. 40103) or excluded from filing by the Act, that has not been filed and that has not become effective pursuant to the Act and this part is in violation of the Act and this part and is subject to the civil penalties set forth in section 13(a) of the Act (46 U.S.C. 41107). | |||
| 46:46:9.0.1.2.16.9.1.2 | 46 | Shipping | IV | B | 535 | PART 535—OCEAN COMMON CARRIER AND MARINE TERMINAL OPERATOR AGREEMENTS SUBJECT TO THE SHIPPING ACT OF 1984 | I | Subpart I—Penalties | § 535.902 Falsification of reports. | FMC | [69 FR 64414, Nov. 4, 2004, as amended at 74 FR 50730, Oct. 1, 2009] | Knowing falsification of any report required by the Act or this part, including knowing falsification of any item in any applicable agreement information and/or reporting requirements pursuant to subparts E and G of this part, is a violation of the rules of this part and is subject to the civil penalties set forth in section 13(a) of the Act (46 U.S.C. 41107) and may be subject to the criminal penalties provided for in 18 U.S.C. 1001. | |||
| 49:49:6.1.2.3.16.0.1.1 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.1 Scope. | NHTSA | [89 FR 18819, Mar. 15, 2024] | This part establishes fuel consumption standards pursuant to 49 U.S.C. 32902(k) for work trucks and commercial medium- and heavy-duty on-highway vehicles (hereafter referenced as heavy-duty vehicles), and engines manufactured for sale in the United States. This part establishes a credit program that manufacturers may use to comply with standards and requirements for manufacturers to provide reports to the National Highway Traffic Safety Administration regarding their efforts to reduce the fuel consumption of heavy-duty vehicles and engines. | ||||||
| 49:49:6.1.2.3.16.0.1.10 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.10 How do manufacturers comply with fuel consumption standards? | NHTSA | [81 FR 74238, Oct. 25, 2016, as amended at 89 FR 18831, Mar. 15, 2024] | (a) Pre-certification process. (1) Regulated manufacturers determine eligibility to use exemptions or exclusions in accordance with § 535.3. (2) Manufacturers may seek preliminary approvals as specified in 40 CFR 1036.210 and 40 CFR 1037.210 from EPA and NHTSA, if needed. Manufacturers may request to schedule pre-certification meetings with EPA and NHTSA prior to submitting approval requests for certificates of conformity to address any joint compliance issues and gain informal feedback from the agencies. (3) [Reserved] (4) In circumstances in which EPA provides multiple compliance approaches manufacturers must choose the same compliance path to comply with NHTSA's fuel consumption standards that they choose to comply with EPA's greenhouse gas emission standards. (5) Manufacturers may not introduce new vehicles into commerce without a certificate of conformity from EPA. Manufacturers must attest to several compliance standards in order to obtain a certificate of conformity. This includes stating comparable fuel consumption results for all required CO 2 emissions rates. Manufacturers not completing these steps do not comply with the NHTSA fuel consumption standards. (6) Manufacturers apply the fuel consumption standards specified in § 535.5 to vehicles, engines and components that represent production units and components for vehicle and engine families, subfamilies and configurations consistent with the EPA specifications in 40 CFR 86.1819, 1036.230, and 1037.230. Vehicles required to meet the fuel consumption standards of this part must also comply with the following additional requirements, consistent with CFR 1037.115(a) and (d): (i) Adjustable parameters. Vehicles that have adjustable parameters must meet all the requirements of this part for any adjustment in the practically adjustable range. We may require that you set adjustable parameters to any specification within the practically adjustable range during any testing. See 40 CFR 1068.50 for general provisions related to adjustable parameters. Y… | ||||||
| 49:49:6.1.2.3.16.0.1.2 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.2 Purpose. | NHTSA | The purpose of this part is to reduce the fuel consumption of new heavy-duty vehicles and engines by establishing maximum levels for fuel consumption standards while providing a flexible credit program to assist manufacturers in complying with standards. | |||||||
| 49:49:6.1.2.3.16.0.1.3 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.3 Applicability. | NHTSA | [81 FR 74238, Oct. 25, 2016, as amended at 89 FR 18819, Mar. 15, 2024] | (a) This part applies to manufacturers that produce complete and incomplete heavy-duty vehicles as defined in 49 CFR part 523, and to the manufacturers of all heavy-duty engines manufactured for use in the applicable vehicles for each given model year. (b) This part also applies to alterers, final stage manufacturers, and intermediate manufacturers producing vehicles and engines or assembling motor vehicles or motor vehicle equipment under special conditions. Manufacturers comply with this part by following the special conditions in 40 CFR 1037.620, 1037.621, and 1037.622 in which EPA allows manufacturer to: (1) Share responsibility for the vehicles they produce. Manufacturers sharing responsibility for complying with emissions and fuel consumption standards must submit to the agencies a joint agreement as specified in 49 CFR 534.8(a); (2) Have certificate holders sell or ship vehicles that are missing certain emission-related components to be installed by secondary vehicle manufacturers; (3) Ship partially complete vehicles to secondary manufacturers; (4) Build electric vehicles; and (5) Build alternative fueled vehicles from all types of heavy duty engine conversions. The conversion manufacturer must: (i) Install alternative fuel conversion systems into vehicles acquired from vehicle manufacturers prior to first retail sale or prior to the vehicle's introduction into interstate commerce. (ii) Be designated by the vehicle manufacturer and EPA to be the certificate holder. (iii) Omit alternative fueled vehicles from compliance with vehicle fuel consumption standards, if— (A) Excluded from EPA emissions standards; and (B) A reasonable technical basis exist that the modified vehicle continues to meet emissions and fuel consumption vehicle standards. (c) Vehicle and engine manufacturers that must comply with this part include manufacturers required to have approved certificates of conformity from EPA as specified in subparts C in 40 CFR parts 1036 and 1037. (d) The following heavy-duty vehicles and engi… | ||||||
| 49:49:6.1.2.3.16.0.1.4 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.4 Definitions. | NHTSA | [89 FR 18819, Mar. 15, 2024, as amended at 89 FR 52950, June 24, 2024] | The terms manufacture , manufacturer , commercial medium-duty on highway vehicle , commercial heavy-duty on highway vehicle , fuel , and work truck are used as defined in 49 U.S.C. 32901. See 49 CFR 523.2 for general definitions related to NHTSA's fuel efficiency programs. Adjustable parameter means any device, system, or element of design that someone can adjust (including those which are difficult to access) and that, if adjusted, may affect measured or modeled emissions (as applicable). In some cases, this may exclude a parameter that is difficult to access if it cannot be adjusted to affect emissions without significantly degrading engine performance, or if it will not be adjusted in a way that affects emissions during in-use operation. (See 40 CFR 1065.1001 and 40 CFR 1068.50). Administrator means the Administrator of the National Highway Traffic Safety Administration (NHTSA) or the Administrator's delegate. Advanced technology means specific vehicle technology for which manufacturers may earn special credits under §§ 535.6 and 535.7 ( e.g., hybrids with powertrain designs that include energy storage systems, vehicles with waste heat recovery, electric vehicles, and fuel cell vehicles). Alterer means a manufacturer that modifies an altered vehicle as defined in 49 CFR 567.3 Alternative fuel conversion has the meaning given for clean alternative fuel conversion in 40 CFR 85.502 A to B testing has the meaning given in 40 CFR 1037.801. Automated manual transmission has the meaning given in 40 CFR 1037.801. Automatic tire inflation system has the meaning given in 40 CFR 1037.801. Automatic transmission (AT) has the meaning given in 40 CFR 1037.801. Auxiliary power unit has the meaning given in 40 CFR 1037.801. Averaging set means, a set of engines or vehicles in which fuel consumption credits may be exchanged. Credits generated by one engine or vehicle family may only be used by other respective engine or vehicle families in the same averaging set as specified in § 535.7. Note that … | ||||||
| 49:49:6.1.2.3.16.0.1.5 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.5 Standards. | NHTSA | [81 FR 74238, Oct. 25, 2016, as amended at 89 FR 18825, Mar. 15, 2024; 89 FR 52951, June 24, 2024] | (a) Heavy-duty pickup trucks and vans. Each manufacturer's fleet of heavy-duty pickup trucks and vans shall comply with the fuel consumption standards in this paragraph (a) expressed in gallons per 100 miles. Each vehicle must be manufactured to comply for its full useful life. For the Phase 1 program, if the manufacturer's fleet includes conventional vehicles (gasoline, diesel and alternative fueled vehicles) and advanced technology vehicles (hybrids with powertrain designs that include energy storage systems, vehicles with waste heat recovery, electric vehicles and fuel cell vehicles), it may divide its fleet into two separate fleets each with its own separate fleet average fuel consumption standard which the manufacturer must comply with the requirements of this paragraph (a). For Phase 2, manufacturers may calculate their fleet average fuel consumption standard for a conventional fleet and multiple advanced technology vehicle fleets. Advanced technology vehicle fleets should be separated into plug-in hybrid electric vehicles, electric vehicles, and fuel cell vehicles. The standards in this paragraph (a) correspond to EPA requirements specified in 40 CFR 86.1819-14. When applying the fuel consumption standards in this paragraph (a), manufacturers must use the same options they use to comply with EPA in 40 CFR part 86, subpart S in terms of grouping vehicles and/or engines for purposes of determining applicable standards and determining compliance ( i.e., the vehicles and/or engines and must be grouped in the same way for purposes of this paragraph (a) as they are grouped for compliance with EPA's requirements in 40 CFR part 86, subpart S). Engines that are installed in vehicles that are subject to the standards in this paragraph are not subject to the standards in paragraph (d) of this section and may not optionally comply with paragraph (d). (1) Mandatory standards. For model years 2016 and later, each manufacturer must comply with the fleet average standard derived from the unique subconfiguration targ… | ||||||
| 49:49:6.1.2.3.16.0.1.6 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.6 Measurement and calculation procedures. | NHTSA | [81 FR 74238, Oct. 25, 2016, as amended at 85 FR 25274, Apr. 30, 2020; 89 FR 18828, Mar. 15, 2024; 89 FR 52952, June 24, 2024] | This part describes the measurement and calculation procedures manufacturers use to determine annual fuel consumption performance results. Manufacturers use the fuel consumption results determined in this part for calculating credit balances specified in § 535.7 and then determine whether they comply with standards as specified in § 535.10. Manufacturers must use EPA emissions test results for deriving NHTSA's fuel consumption performance rates. Consequently, manufacturers conducting testing for certification or annual demonstration testing and providing CO 2 emissions data to EPA must also provide equivalent fuel consumption results to NHTSA for all values. NHTSA and EPA reserve the right to verify separately or in coordination the results of any testing and measurement established by manufacturers in complying with the provisions of this program and as specified in 40 CFR 1037.301 and § 535.9. Any carry over data from the Phase 1 program may be carried into the Phase 2 only with approval from EPA and by using good engineering judgment considering differences in testing protocols between test procedures. (a) Heavy-duty pickup trucks and vans. This section describes the method for determining the fuel consumption performance rates for test groups and for fleets of complete heavy-duty pickup trucks and vans each model year. The NHTSA heavy-duty pickup truck and van fuel consumption performance rates correspond to the same requirements for EPA as specified in 40 CFR 86.1819-14. (1) For the Phase 1 program, if the manufacturer's fleet includes conventional vehicles (gasoline, diesel and alternative fueled vehicles) and advanced technology vehicles (hybrids with powertrain designs that include energy storage systems, vehicles with waste heat recovery, electric vehicles and fuel cell vehicles), it may divide its fleet into two separate fleets each with its own separate fleet average fuel consumption performance rate. For Phase 2 and later, manufacturers may calculate their fleet average fuel consumption rates for… | ||||||
| 49:49:6.1.2.3.16.0.1.7 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.7 Averaging, banking, and trading (ABT) credit program. | NHTSA | [81 FR 74238, Oct. 25, 2016, as amended at 85 FR 25274, Apr. 30, 2020; 89 FR 18829, Mar. 15, 2024; 89 FR 52952, June 24, 2024] | (a) General provisions. After the end of each model year, manufacturers must comply with the fuel consumption standards in § 535.5 for averaging, banking and trading credits. Manufacturers comply with standards if the sum of averaged, banked and traded credits generate a “zero” credit balance or a credit surplus within an averaging set of vehicles or engines. Manufacturers fail to comply with standards if the sum of the credit flexibilities generate a credit deficit (or shortfall) in an averaging set. Credit shortfalls must be offset by banked or traded credits within three model years after the shortfall is incurred. These processes are hereafter referenced as the NHTSA ABT credit program. The following provisions apply to all fuel consumption credits. (1) Credits (or fuel consumption credits (FCCs)). Credits in this part mean a calculated weighted value representing the difference between the fuel consumption performance and the standard of a vehicle or engine family or fleet within a particular averaging set. Positive credits represent cases where a vehicle or engine family or fleets perform better than the applicable standard (the fuel consumption performance is less than the standard) whereas negative credits represent underperforming cases. The value of a credit is calculated according to paragraphs (b) through (e) of this section. FCCs are only considered earned or useable for averaging, banking or trading after EPA and NHTSA have verified the information in a manufacturer's final reports required in § 535.8. Types of FCCs include the following: (i) Conventional credits. Credits generated by vehicle or engine families or fleets containing conventional vehicles ( i.e., gasoline, diesel and alternative fueled vehicles). (ii) Early credits. Credits generated by vehicle or engine families or fleets produced for model year 2013. Early credits are multiplied by an incentive factor of 1.5 times. (iii) Advanced technology credits. Credits generated by vehicle or engine families or subconfigurations … | ||||||
| 49:49:6.1.2.3.16.0.1.8 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.8 Reporting and recordkeeping requirements. | NHTSA | [81 FR 74238, Oct. 25, 2016, as amended at 89 FR 18831, Mar. 15, 2024] | (a) General requirements. Manufacturers producing heavy-duty vehicles and engines applicable to fuel consumption standards in § 535.5, for each given model year, must submit the required information as specified in paragraphs (b) through (h) of this section. (1) The information required by this part must be submitted by the deadlines specified in this section and must be based upon all the information and data available to the manufacturer 30 days before submitting information. (2) Manufacturers must submit information electronically through the EPA database system as the single point of entry for all information required for this national program and both agencies will have access to the information. In special circumstances, data may not be able to be received electronically ( i.e., during database system development work). The agencies will inform manufacturer of the alternatives can be used for submitting information. The format for the required information will be specified by EPA in coordination with NHTSA. (3) Manufacturers providing incomplete reports missing any of the required information or providing untimely reports are considered as not complying with standards ( i.e., if good-faith estimates of U.S.-directed production volumes for EPA certificates of conformity are not provided) and are liable to pay civil penalties in accordance with 49 U.S.C. 32912. (4) Manufacturers certifying a vehicle or engine family using an FEL or FCL below the applicable fuel consumption standard as described in § 535.5 may choose not to generate fuel consumption credits for that family. In which case, the manufacturer is not required to submit reporting or keep the associated records described in this part for that family. (5) Manufacturers must use good engineering judgment and provide comparable fuel consumption information to that of the information or data provided to EPA under 40 CFR 86.1865, 1036.250, 1036.730, 1036.825 1037.250, 1037.730, and 1037.825. (6) Any information that must be sent directly to NHTS… | ||||||
| 49:49:6.1.2.3.16.0.1.9 | 49 | Transportation | V | 535 | PART 535—MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM | § 535.9 Enforcement approach. | NHTSA | [81 FR 74238, Oct. 25, 2016, as amended at 89 FR 18831, Mar. 15, 2024] | (a) Compliance. (1) Each year NHTSA will assess compliance with fuel consumption standards as specified in § 535.10. (i) NHTSA may conduct audits or confirmatory testing on any configuration prior to first sale throughout a given model year or after the model year in order to validate data received from manufacturers and will discuss any potential issues with EPA and the manufacturer. NHTSA may perform confirmatory testing. Any such testing would be performed as specified in EPA's regulations at 40 CFR part 1037. Audits may periodically be performed to confirm manufacturers' credit balances, or other credit transactions or other information submitted to EPA and NHTSA. (ii) NHTSA may also conduct field inspections either at manufacturing plants or at new vehicle dealerships to validate data received from manufacturers. Field inspections will be carried out in order to validate the condition of vehicles, engines or technology prior to first commercial sale to verify each component's certified configuration as initially built. NHTSA reserves the right to conduct inspections at other locations but will target only those components for which a violation would apply to OEMs and not the fleets or vehicle owners. Compliance inspections could be carried out through a number of approaches including during safety inspections or during compliance safety testing. (iii) NHTSA will conduct audits and inspections in the same manner and, when possible, in conjunction with EPA. NHTSA will also attempt to coordinate inspections with EPA and share results. (iv) Documents collected under NHTSA safety authority may be used to support fuel efficiency audits and inspections. (v) NHTSA may require a manufacturer to perform selective enforcement audits with respect to any GEM inputs in its application for certification or in the end of the year ABT final reports. Any required selective enforcement audits would be required to be conducted in a manner consistent with EPA's corresponding provisions at 40 CFR 1037.301, 1037.305, and 10… |
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