‘‘(A) does not operate the vessels by which the ocean transpor-
tation is provided; and 
‘‘(B) is a shipper in its relationship with an ocean common car-
rier. 
‘‘(17) OCEAN COMMON CARRIER.—The term ‘ocean common carrier’ 
means a vessel-operating common carrier. 
‘‘(18) OCEAN FREIGHT FORWARDER.—The term ‘ocean freight for-
warder’ means a person that— 
‘‘(A) in the United States, dispatches shipments from the 
United States via a common carrier and books or otherwise ar-
ranges space for those shipments on behalf of shippers; and 
‘‘(B) processes the documentation or performs related activities 
incident to those shipments. 
‘‘(19) OCEAN TRANSPORTATION INTERMEDIARY.—The term ‘ocean 
transportation intermediary’ means an ocean freight forwarder or a 
non-vessel-operating common carrier. 
‘‘(20) SERVICE CONTRACT.—The term ‘service contract’ means a 
written contract, other than a bill of lading or receipt, between one or 
more shippers, on the one hand, and an individual ocean common car-
rier or an agreement between or among ocean common carriers, on the 
other, in which— 
‘‘(A) the shipper or shippers commit to providing a certain vol-
ume or portion of cargo over a fixed time period; and 
‘‘(B) the ocean common carrier or the agreement commits to a 
certain rate or rate schedule and a defined service level, such as 
assured space, transit time, port rotation, or similar service fea-
tures. 
‘‘(21) SHIPMENT.—The term ‘shipment’ means all of the cargo car-
ried under the terms of a single bill of lading. 
‘‘(22) SHIPPER.—The term ‘shipper’ means— 
‘‘(A) a cargo owner; 
‘‘(B) the person for whose account the ocean transportation of 
cargo is provided; 
‘‘(C) the person to whom delivery is to be made; 
‘‘(D) a shippers’ association; or 
‘‘(E) a non-vessel-operating common carrier that accepts re-
sponsibility for payment of all charges applicable under the tariff 
or service contract. 
‘‘(23) SHIPPERS’ ASSOCIATION.—The term ‘shippers’ association’ 
means a group of shippers that consolidates or distributes freight on 
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a nonprofit basis for the members of the group to obtain carload, 
truckload, or other volume rates or service contracts. 
‘‘(24) THROUGH RATE.—The term ‘through rate’ means the single 
amount charged by a common carrier in connection with through trans-
portation. 
‘‘(25) THROUGH TRANSPORTATION.—The term ‘through transpor-
tation’ means continuous transportation between origin and destination 
for which a through rate is assessed and which is offered or performed 
by one or more carriers, at least one of which is a common carrier, 
between a United States port or point and a foreign port or point. 
‘‘§ 40103. Administrative exemptions 
‘‘(a) IN GENERAL.—The Federal Maritime Commission, on application or 
its own motion, may by order or regulation exempt for the future any class 
of agreements between persons subject to this part or any specified activity 
of those persons from any requirement of this part if the Commission finds 
that the exemption will not result in substantial reduction in competition 
or be detrimental to commerce. The Commission may attach conditions to 
an exemption and may, by order, revoke an exemption. 
‘‘(b) OPPORTUNITY FOR HEARING.—An order or regulation of exemption 
or revocation of an exemption may be issued only if the Commission has 
provided an opportunity for a hearing to interested persons and depart-
ments and agencies of the United States Government. 
‘‘§ 40104. Reports filed with the Commission 
‘‘(a) IN GENERAL.—The Federal Maritime Commission may require a 
common carrier or an officer, receiver, trustee, lessee, agent, or employee 
of the carrier to file with the Commission a periodical or special report, an 
account, record, rate, or charge, or a memorandum of facts and transactions 
related to the business of the carrier. The report, account, record, rate, 
charge, or memorandum shall be made under oath if the Commission re-
quires, and shall be filed in the form and within the time prescribed by the 
Commission. 
‘‘(b) CONFERENCE MINUTES.—Conference minutes required to be filed 
with the Commission under this section may not be released to third parties 
or published by the Commission. 
‘‘CHAPTER 403—AGREEMENTS 
‘‘Sec. 
‘‘40301.
Application. 
‘‘40302.
Filing requirements. 
‘‘40303.
Content requirements. 
‘‘40304.
Commission action. 
‘‘40305.
Assessment agreements. 
‘‘40306.
Nondisclosure of information. 
‘‘40307.
Exemption from antitrust laws. 
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‘‘§ 40301. Application 
‘‘(a) OCEAN COMMON CARRIER AGREEMENTS.—This part applies to an 
agreement between 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 regulate the number and character of voyages be-
tween ports; 
‘‘(4) regulate the volume or character of cargo or passenger traffic 
to be carried; 
‘‘(5) engage in an exclusive, preferential, or cooperative working ar-
rangement between themselves or with a marine terminal operator; 
‘‘(6) control, regulate, or prevent competition in international ocean 
transportation; or 
‘‘(7) discuss and agree on any matter related to a service contract. 
‘‘(b) MARINE TERMINAL OPERATOR AGREEMENTS.—This part applies to 
an agreement between or among marine terminal operators, or between or 
among one or more marine terminal operators and one or more ocean com-
mon carriers, to— 
‘‘(1) discuss, fix, or regulate rates or other conditions of service; or 
‘‘(2) engage in exclusive, preferential, or cooperative working ar-
rangements, to the extent the agreement involves ocean transportation 
in the foreign commerce of the United States. 
‘‘(c) ACQUISITIONS.—This part does not apply to an acquisition by any 
person, directly or indirectly, of any voting security or assets of any other 
person. 
‘‘(d) MARITIME LABOR AGREEMENTS.—This part does not apply to a 
maritime labor agreement. However, this subsection does not exempt from 
this part any rate, charge, regulation, or practice of a common carrier that 
is required to be set forth in a tariff or is an essential term of a service 
contract, whether or not the rate, charge, regulation, or practice arises out 
of, or is otherwise related to, a maritime labor agreement. 
‘‘(e) ASSESSMENT AGREEMENTS.—This part (except sections 40305 and 
40307(a)) does not apply to an assessment agreement. 
‘‘§ 40302. Filing requirements 
‘‘(a) IN GENERAL.—A true copy of every agreement referred to in section 
40301(a) or (b) of this title shall be filed with the Federal Maritime Com-
mission. If the agreement is oral, a complete memorandum specifying in de-
tail the substance of the agreement shall be filed. 
‘‘(b) EXCEPTIONS.—Subsection (a) does not apply to— 
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‘‘(1) an agreement related to transportation to be performed within 
or between foreign countries; or 
‘‘(2) an agreement among common carriers to establish, operate, or 
maintain a marine terminal in the United States. 
‘‘(c) REGULATIONS.—The Commission may by regulation prescribe the 
form and manner in which an agreement shall be filed and any additional 
information and documents necessary to evaluate the agreement. 
‘‘§ 40303. Content requirements 
‘‘(a) OCEAN COMMON CARRIER AGREEMENTS.— 
‘‘(1) RESTRICTIONS.—An ocean common carrier agreement may 
not— 
‘‘(A) prohibit or restrict a member of the agreement from en-
gaging in negotiations for a service contract with a shipper; 
‘‘(B) require a member of the agreement to disclose a negotia-
tion on a service contract, or the terms of a service contract, other 
than those terms required to be published under section 40502(d) 
of this title; or 
‘‘(C) adopt mandatory rules or requirements affecting the right 
of an agreement member to negotiate and enter into a service con-
tract. 
‘‘(2) VOLUNTARY GUIDELINES.—An ocean common carrier agree-
ment may provide authority to adopt voluntary guidelines relating to 
the terms and procedures of an agreement member’s service contracts 
if the guidelines explicitly state the right of members of the agreement 
not to follow the guidelines. Any guidelines adopted shall be submitted 
confidentially to the Federal Maritime Commission. 
‘‘(b) CONFERENCE AGREEMENTS.—Each conference agreement must— 
‘‘(1) state its purpose; 
‘‘(2) provide reasonable and equal terms for admission and readmis-
sion to conference membership for any ocean common carrier willing 
to serve the particular trade or route; 
‘‘(3) permit any member to withdraw from conference membership 
on reasonable notice without penalty; 
‘‘(4) at the request of any member, require an independent neutral 
body to police fully the obligations of the conference and its members; 
‘‘(5) prohibit the conference from engaging in conduct prohibited by 
section 41105(1) or (3) of this title; 
‘‘(6) provide for a consultation process designed to promote— 
‘‘(A) commercial resolution of disputes; and 
‘‘(B) cooperation with shippers in preventing and eliminating 
malpractices; 
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