An OTI may be either an ocean freight forwarder, a non-vessel-operating common carrier (NVOCC), or both an ocean freight forwarder and an NVOCC.

What is an ocean freight forwarder?

An ocean freight forwarder is an individual or company in the United States that dispatches shipments from the United States via common carriers (defined at 46 U.S.C. app. §1702(6)) and books or otherwise arranges space for those shipments on behalf of shippers (defined at 46 U.S.C. app §1702(21)).Ocean freight forwarders also prepare and process the documentation and perform related activities pertaining to those shipments.

What is an NVOCC?

An NVOCC is a common carrier that does not operate the vessels by which ocean transportation is provided, and is a shipper in relation to the involved ocean common carrier.

What are OTI services?

Freight Forwarding OTI services refer to the dispatching of shipments on behalf of others to facilitate shipments by common carriers, including ordering cargo to port; preparing or processing export declarations, bills of lading and other export documentation; booking or confirming cargo space; arranging for warehouse space; arranging cargo insurance; clearing shipments in accordance with United States Government export regulations; preparing and/or sending advance notice of shipments to banks, shippers, and consignees; handling freight monies on behalf of shippers; coordinating the movement of shipments from origin to the vessel; and giving expert advice to exporters.

NVOCC OTI services refers to the provision of transportation by water of cargo between the United States and a foreign country (whether import or export) for compensation without operating the vessels by which the transportation is provided. NVOCC OTI services may include purchasing transportation services from vessel-operating common carriers for resale; payment of port-to-port or multi-modal transportation charges; entering into affreightment agreements with underlying shippers; issuing bills of lading or equivalent documents; arranging and paying for inland transportation on through transportation movements; paying lawful compensation to ocean freight forwarders; leasing containers; and entering into arrangements with origin or destination agents.

When is an OTI license required?

An OTI license is required of any individual or entity which is resident in or incorporated in the United States and performs OTI services in the foreign commerce of the United States.

Can I be both an ocean freight forwarder and an NVOCC?

Yes, an entity can operate as a freight forwarder and as an NVOCC, but generally cannot be compensated for serving in both roles on the same transaction. That is, if you issue your own NVOCC bill of lading and collect ocean freight at your published rate for that shipment, you cannot also collect forwarding compensation on that same shipment.

Do I need an OTI license from the FMC to forward shipments by air or modes of ground transportation in foreign or domestic commerce?

No, although other federal agencies may have specific requirements.

Do I need an OTI license to move cargo by ship domestically within the United States or its territories?

No, however, there may be requirements imposed by the Surface Transportation Board (“STB”). You may view the STB website at http://www.stb.dot.gov or call the general information phone number at (202) 565-1500 for further information.

May I share my license to operate as an OTI with an unlicensed person or company?

No, only a licensee may operate pursuant to its license.

May I perform ocean freight forwarding activities without being licensed?

Yes, but only in certain situations. A shipper (a person whose primary business is the sale of merchandise) may perform freight forwarding activities on behalf of its own shipments or the shipments of a parent, subsidiary, affiliate, or associated company. An ocean common carrier, or its agent, may perform freight forwarding activities with respect to cargo carried under the carrier’s own bill of lading. Fees for performing these activities must be filed in the carrier’s tariff. However, except as provided, unlicensed freight forwarders may not book or arrange vessel space for others, process shipping documentation or collect freight forwarder compensation from the ocean carriers.

How does an ocean freight forwarder OTI get paid?

In providing its various services, an ocean freight forwarder charges fees to its customers (the shippers) and may also collect compensation from the common carrier in accordance with the terms of its tariff.

If I, as a shipper, forward my own shipments, am I entitled to receive ocean freight forwarder compensation from the ocean carrier?

No, only licensed OTI freight forwarders may receive forwarder compensation. Freight forwarders may not receive compensation on shipments in which they have a beneficial interest.

Do I have to renew my license?

No, but if a license is surrendered or revoked by the Commission for cause, you must reapply.

My license as an OTI has an “F” or an “N” on it. What does it mean?

The “F” or “N” identifies a licensee as a freight forwarder (“F”) or an NVOCC (“N”).

If I am licensed and decide I no longer want to operate as an OTI or I am a joint NVOCC and freight forwarder OTI and I no longer want to operate one of my services, what must I do?

If you no longer want to operate as an OTI, you must:

- Surrender your license to the Bureau of Certification and Licensing, Federal Maritime Commission, 800 North Capitol Street, N.W., Washington, D.C. 20573.

- Advise your financial responsibility provider, and if you are an NVOCC, your tariff publisher, that you no longer are operating as an OTI.

The Commission will issue you a letter of voluntary surrender and the surrender will be effective the date your license was received by the Commission. If you are an NVOCC OTI, your FMC-1 listing will be designated as inactive on the Commission website. A notice of the surrender will be published in the Federal Register. You may no longer offer OTI services once you have surrendered your license. If you are a joint NVOCC/freight forwarder OTI and wish to surrender a portion of your license, you must notify the Commission and your financial responsibility provider of your surrender. A letter of surrender will be issued to you with regard to the surrendered service and a notice published in the Federal Register. You must contact your financial responsibility provider to cancel the coverage of the surrendered service. If you are surrendering the NVOCC portion of your license, you must notify your tariff publisher to cancel your tariff and the Commission will designate your FMC-1 listing as inactive. You will be issued a new license indicating the service you will continue to offer and you must return the joint “NF” license that you held. A reissuance notice will be published in the Federal Register.

Where can I find regulations regarding OTIs?

Regulations governing OTIs can be viewed on the Commission’s website at www.fmc.gov. Please click on the “Regulations” heading. Part 515, Licensing, Financial Responsibility Requirements, and General Duties for Ocean Transportation Intermediaries, contains the regulations relating to OTIs. In addition, Part 520, Carrier Automated Tariffs, Part 530, Service contracts, and Part 531, NVOCC Service Arrangements, apply to NVOCC OTIs.

How may I contact the Commission with regard to OTI matters?

The Federal Maritime Commission’s Bureau of Certification and Licensing has two offices that deal with OTI issues.

(1). The Office of Transportation Intermediaries reviews OTI applications and issues the licenses. This office may be contacted by telephone at (202) 523-5843, by facsimile at (202)566-0011 or e-mail at OTI@fmc.gov.

(2). The Office of Passenger Vessels and Information Processing handles the OTI surety bonds and other forms of financial responsibility. This office can be contacted by telephone at (202) 523-5818, by facsimile at (202) 523-5830 or e-mail at OTIbonds@fmc.gov. Normal business working hours are 8:30 a.m. to 5:00 p.m.

Street address: Bureau of Certification and Licensing Federal Maritime Commission 800 North Capitol Street, N.W. Washington, D.C. 20573.

How may I contact the Commission for further information about Form FMC-1, tariff, NVOCC service arrangement or service contract requirements?

Issues relating to tariffs, service contracts and NVOCC service arrangements are handled primarily by the Commission’s Bureau of Trade Analysis, Office of Service Contracts and Tariffs. This office may be contacted by telephone at (202) 523-5856, by facsimile at (202) 523-5867, or email at form1@fmc.gov.

How do I obtain an OTI license?

Submit a completed Form FMC-18 to the Commission demonstrating that the applicant has the required experience and character to offer OTI services. The applicant must include the appropriate fee and documentation supporting the application and provide evidence of financial responsibility for licensing. Commission staff will review the application, contact references and conduct an investigation of the applicant. If staff determines the applicant has the requisite experience and character, an OTI license will be issued.

How do I submit a license application?

Applicants must file Form FMC-18 in duplicate. This form may be downloaded and printed from the Commission’s website at www.fmc.gov (click on “Forms” under “Bureau of Certification and Licensing”) or obtained from the Office of Ocean Transportation Intermediaries. The application must be accompanied by a money order, a certified check, cashier’s check, or a personal check made payable to the Federal Maritime Commission. The fee for an initial application is $825, and for an amended application, $525. Failure to include the proper fee with your application will cause it to be returned without processing. The completed application may be mailed or sent by courier to:

Bureau of Certification and Licensing,
Federal Maritime Commission
800 North Capitol Street
NW, Washington, D.C. 20573.

If you require evidence of delivery, please enclose a stamped, self-addressed envelope and an extra copy of the cover letter or the first page of the application. Commission staff will date stamp the extra copy of the cover letter or the first page of the application and return it to you.

May I apply for an OTI license as both an ocean freight forwarder and an NVOCC on the same Form FMC-18?

Yes. When applying for both NVOCC and ocean freight forwarder authority on the same application, the filing fee is $825. If the applicant is an existing licensed NVOCC OTI and wishes to add freight forwarding service to its license or is an existing licensed freight forwarder and wishes to add NVOCC OTI service to its license, the fee is $525.

Can a lawyer or other third party prepare Form FMC-18?

Yes, but the Form FMC-18 must be signed by the applicant.

What documentation must be submitted with application Form FMC-18?

Documentation that must be submitted with Form FMC-18 includes: Proof of the applicant’s name and existence: If sole proprietor: business license and driver’s license If corporation: articles of incorporation and certificate of good standing (or its equivalent) If partnership: partnership agreement If a trade name is used: fictitious name statement (or equivalent) issued by the state Proof of the qualifying individual’s position: If a corporation:corporate minutes or resolution showing the appointment of the qualifying individual as an officer of the applicant corporation If a partnership: partnership agreement

What fees are required?

As noted above, the fee for an initial application for an OTI license is $825. The fee for applications for changes in operations that require the reissuance of a license is $525. When applying for both NVOCC and ocean freight forwarder authority on the same application, the filing fee is $825. All payments may be made by money order, certified check, cashier’s check, or personal check made payable to “Federal Maritime Commission.” Please do not send cash. Failure to include the proper fee with your application will cause it to be returned without processing. Fees will not be refunded in any instance where the application has been processed in whole or in part.

How long will it take to process my application?

Applications are normally approved within 45 days from receipt of the application, assuming the application is complete and the Commission’s investigation does not reveal any circumstances that would preclude licensing.

What experience must an applicant have?

The applicant must designate a qualifying individual who has a minimum of three (3) years’ experience in OTI activities in the United States. A foreign NVOCC seeking to be licensed must also demonstrate that its proposed qualifying individual has a minimum three years experience in OTI activities. However, such experience may be gained outside of the United States. Academic study or course work may not be substituted for this experience. In addition, a potential qualifying individual must possess the necessary character to render OTI services.

Who can be a qualifying individual of an OTI?

A qualifying individual is the person who possesses the OTI experience and necessary character to qualify the OTI applicant for licensing. The qualifying individual must be:

(1) for a sole proprietorship, the applicant sole proprietor.

(2) for a partnership, at least one of the active managing partners, but all partners must execute the application.

(3) for a corporation, at least one of the active corporate officers. Corporate officers include president, vice president, secretary or treasurer. Positions which are largely descriptive of job function, i.e., director of operations or vice president of export, typically are not recognized by state authorities as officers of a corporation.

How is the work experience of the QI verified?

The application must provide the name, address, telephone number, position, and work relationship of at least 3 non-related references who have first hand knowledge of the QI's work experience.

May one person be a qualifying individual for two or more OTI applicants?

A qualifying individual of one active licensee may serve as the qualifying individual of another OTI only if both entities are commonly owned or where one directly controls the other. Separately incorporated branch offices may fit this definition.

What are the financial responsibility requirements?

Every OTI must furnish proof of acceptable financial responsibility in the form of a surety bond, insurance, or guaranty to cover its transportation-related activities while the OTI is acting as an ocean freight forwarder or an NVOCC.

An ocean freight forwarder must furnish proof of financial responsibility in the amount of $50,000 plus $10,000 for each unincorporated branch office in the United States.

 An NVOCC operating in the United States must furnish proof of financial responsibility in the amount of $75,000 plus $10,000 for each unincorporated branch office in the United States.

An unlicensed, foreign-domiciled OTI must furnish proof of financial responsibility in the amount of $150,000.

A licensed foreign-domiciled OTI must furnish proof of financial responsibility in the amount of $75,000 plus $10,000 for each additional unincorporated branch office in the United States (not counting the unincorporated presence it has established in the United States to qualify for licensing).

How do I file my proof of financial responsibility?

Typically, applicants provide proof of financial responsibility in the form of a surety bond filed on Form FMC-48. This Form may be downloaded from the Commission’s website or obtained from the Office of Ocean Transportation Intermediaries or the Office of Passenger Vessels and Information Processing. The proof of financial responsibility must be signed by both a representative of the OTI and the financial responsibility provider.

When must I provide proof of financial responsibility?

You may file proof of financial responsibility with your application to save time. You must file proof of financial responsibility upon notification by the Commission that your application has been approved. The license will not be issued until the Commission has received acceptable proof of financial responsibility. The applicant’s name as principal on the proof of financial responsibility must match exactly the legal name of the applicant, including abbreviations, punctuation, capitalization and assumed or trade names. The address on the proof of financial responsibility must be that of the headquarters office, and the addresses of unincorporated branch offices must be listed and the amount of the proof of financial responsibility increased accordingly. In the case of surety bonds, a power of attorney issued by the surety must be attached to the bond. If more than six (6) months lapse from the time the Commission approves an application and the date it receives the proof of financial responsibility, the Commission may undertake a supplementary investigation to determine the continued qualification of the applicant. The fee for any such supplementary investigation is $225. Should the Commission not receive proof of financial responsibility from the applicant within two (2) years from the date of approval, the Commission will consider the application void.

If I am licensed as both an ocean freight forwarder and an NVOCC, may I provide proof of financial responsibility using one combined instrument?

No. Separate proofs of responsibility must be provided. The NVOCC proof of financial responsibility will only cover claims arising from the NVOCC’s transportation-related activities and the freight forwarder proof of financial responsibility will only cover claims arising from its freight forwarder services.

How do I find a surety bonding company?

The Department of Treasury maintains a list of approved surety bonding companies (Circular 570). It can be viewed at their website: http://www.fms.treas.gov/c570/index.html You also may contact the Department of Treasury in writing at the following address:

U.S. Department of Treasury Financial Management Service
(FMS) Surety Bond Branch
3700 East-West Highway Room 6FO7
Hyattsville, MD 20782.

You may also call FMS at (202) 874-6850 or send a facsimile to (202) 874-9978.

I am a licensed OTI and my instrument of financial responsibility is cancelled, what may I expect?

The financial responsibility provider will send notice to the Commission that your coverage will be terminated. Termination becomes effective 30 days after receipt by the Commission of the notice or the date designated by the provider if the cancellation date is greater than 30 days. The Commission will issue you a letter notifying you of the provider’s cancellation and the effective date of the cancellation. The provider, and if applicable, your tariff publisher, will receive a copy of this letter. The letter advises you that your license will be revoked by the Commission without hearing or other proceeding after the effective date of the cancellation unless you provide replacement coverage or the provider issues a recission of the cancellation. If you are an NVOCC OTI, you will be directed to cancel all NVOCC tariffs by the cancellation date. If you fail to provide replacement coverage, an Order of Revocation will be issued to you and notice of the revocation will be published in the Federal Register. Revocation is effective on the date of the coverage cancellation. You will be ordered to return your license and will be prohibited from performing OTI services. If you are an NVOCC OTI, the Commission will designate your FMC-1 listing as inactive.

I am an unlicensed foreign NVOCC OTI and my instrument of financial responsibility is cancelled. What may I expect?

The financial responsibility provider will send notice to the Commission that your coverage will be terminated. Termination becomes effective 30 days after receipt by the Commission of the notice or the date designated by the provider if the cancellation date is greater than 30 days. The Commission will issue you a letter notifying you of the provider’s cancellation and the effective date of the cancellation. The provider and your tariff publisher will receive a copy of this letter. The letter directs you to cancel your tariffs by the effective date of the cancellation and advises that you may no longer operate as an OTI NVOCC in the foreign trades of the United States. The Commission will designate your FMC-1 filing as inactive.

If my proof of financial responsibility is cancelled and my license is revoked and I obtain new coverage, what must I do?

If the effective date of the new coverage is no later than the effective date of the cancellation of the prior coverage (and license revocation effective date), you must notify the Office of Passenger Vessels and Information Processing by phone at (202) 523-5818, facsimile at (202) 523-5830 or e-mail at OTIbonds@fmc.gov and submit the replacement coverage. In most cases you will be reissued a license effective the date of the prior coverage cancellation and license revocation. If you are an NVOCC OTI, you will need to have your tariff publisher file a replacement FMC-1 form and publish a replacement tariff. If there is a break in OTI bond coverage, you will need to reapply for licensing by submitting Form FMC-18, a fee of $825 and the replacement coverage.

How do I seek a claim against the bond or insurance of an OTI?

If you seek to pursue a claim against an OTI financial responsibility provider arising from the OTI’s transportation-related activities, you may attempt to resolve the claim with the financial responsibility provider prior to seeking payment on any judgment for damages obtained. If you seek payment without a judgment, you must simultaneously notify both the financial responsibility provider and the OTI of the claim by certified mail, return receipt requested. The bond, insurance or other surety may be available to pay your claim if:

(1) the OTI consents to payment, subject to review by the financial responsibility provider; or

(2) the OTI fails to respond within forty-five days from the date of the notice of claim, and the financial responsibility provider deems the claim valid.

If the parties fail to reach an agreement within ninety days of the date of the initial notification of the claim, the bond, insurance or other surety shall be available to pay any final judgment for damages obtained from an appropriate court. The financial responsibility provider shall pay such judgment for damages only to the extent they arise from transportation-related activities of the OTI, ordinarily within 30 days, without requiring further evidence related to the validity of the claim. It may, however, inquire into the extent to which the judgment for damages arise from the OTI’s transportation-related activities. The financial responsibility provider may be found in the rules section of the NVOCC’s tariff. In addition, the name and address of the financial responsibility provider of an OTI may be obtained from the

Office of Passenger Vessels and Information Processing 
Federal Maritime Commission  
Washington, D.C. 20573.

This office may be contacted by phone at (202) 523-5818, by facsimile at (202) 523-5830 or e-mail at OTIbonds@fmc.gov.

What is the Optional Rider for Additional NVOCC Financial Responsibility (“Optional Rider”)?

The Optional Rider (located on the FMC Forms Page) is a rider that NVOCCs serving the U.S.-China Trade may attach to their NVOCC bond to meet the NVOCC licensing requirements of the People’s Republic of China (“PRC”). The rider is a convenience offered by the Commission to U.S. NVOCCs as a result of a bilateral maritime agreement between the United States and the PRC. The agreement’s Memorandum of Consultations provides that the PRC will not require U.S. NVOCCs to make a cash deposit in a Chinese bank, as long as the NVOCC:

(1) is a legal person registered by U.S. authorities;

(2) obtains an OTI License from the Commission; and

(3) provides evidence of financial responsibility in the total amount of $96,000. The rider adds an additional $21,000 to the $75,000 bond already maintained by the NVOCC as a condition of licensing.

Can the PRC seek to collect fines and penalties against the entire NVOCC bond?

No. The PRC may only collect fines and penalties for violations of its shipping statutes and regulations from the Optional Rider. It may not collect such fines and penalties from the base $75,000 bond.

Is the Optional Rider available to shippers, carriers or others seeking claims for transportation-related activities under the Shipping Act?

No. The Optional Rider is available only to provide coverage should the PRC seek fines and penalties against the NVOCC for violation of its shipping laws.

Does the Optional Rider affect my ability to seek and collect on a claim for transportation -related activities under the Shipping Act?

No. You may file a claim against the base bond. However, the $21,000 Optional Rider is not available for such claims.

Where may I direct questions regarding the shipping regulations of the PRC?

The Commission cannot provide guidance for questions regarding the shipping regulations of the PRC. You should contact the PRC Ministry of Communications to obtain advice.

How may I obtain the Optional Rider?

You may contact the underwriter of your OTI NVOCC bond to determine whether it will be willing to issue an Optional Rider to your bond. If so, it will file the rider to your OTI NVOCC bond. The Optional Rider will be effective on the date shown in 1.c. of the Optional bond.

May I obtain an Optional Rider from a surety other than the surety that underwrites my NVOCC OTI bond?

No. The Optional Rider is a rider to your existing OTI NVOCC bond. It cannot be issued independently of that bond.

Where may I obtain a copy of the Optional Rider?

You may view and copy the Optional Rider forms under the Bureau of Certification and Licensing/Forms heading on the Commission’s website at www.fmc.gov. The Optional Rider for the individual OTI bond form, Form FMC-48, is numbered Form FMC-48A and the Optional rider for the OTI group bond, Form FMC-69, is numbered Form FMC- 69-A.

May I terminate the Optional Rider and keep the base bond in effect?

Yes. The Optional Rider may be terminated by either the NVOCC or the surety. Termination will become effective 30 days after receipt of the Notice of Termination by the Commission and proof that the PRC Minister of Communication has been notified.

How may I determine which NVOCCs have filed an Optional Rider?

You may consult the OTI List on the Commission’s website and look at the Optional Bond Rider for China Trade column. A date in that field indicates the effective date of the Optional Rider on file with the Commission for the corresponding NVOCC. .

What are the requirements for an unincorporated branch office and one that is separately incorporated?

A branch office is any office in the United States maintained by or under the control of a licensee, performing OTI services, that operates under a common corporate charter. Individual unincorporated branch offices are not required to be licensed provided that they have been reported to the Commission and are covered by increased financial responsibility. A separately incorporated branch office is one operating under a separate corporate charter from its parent or affiliated licensee. Each separately incorporated branch office must provide its own proof of financial responsibility and be separately licensed, but may have the same qualifying individual.

If my headquarters office does not perform OTI services, but my unincorporated branch office performs those services, can I only report the branch office and provide financial responsibility for that office only?

No. Even though the headquarters office does not provide OTI services, its address must appear on the financial responsibility coverage as the headquarters. The branch office must also appear on the coverage and the coverage increased $10,000 for that branch office.

How does an applicant identify its business affiliations or ownership?

Business ownership and all related business affiliations must be explained on the application form by providing the names, addresses, and contact numbers. The percentage of ownership must be indicated and total 100%.

Are OTIs required to publish a tariff?

Freight forwarders are not required to publish tariffs. NVOCCs are required to publish tariffs. However, if a separately incorporated and licensed NVOCC branch office performs OTI services solely for the headquarters office, the branch office does not need to publish its own tariff. The branch office, in this instance, however, must still file an FMC-1 form and indicate the location of the headquarters tariff.

Where do I find the regulations as to publishing a tariff?

Tariff regulations may be found at 46 CFR Part 520. These are accessible at the Commission website at www.fmc.gov. (Click on “Regulations”)

How can I find a tariff publisher?

A list of tariff publishers can be obtained from the Commission. You may contact the Bureau of Trade Analysis, Office of Service Contracts and Tariffs by telephone at (202) 523-5856.

What is a NVOCC service arrangement?

NVOCC Service Arrangement ("NSA") means a written contract, other than a bill of lading or receipt, between one or more NSA shippers and an individual NVOCC or two or more affiliated NVOCCs, in which the NSA shipper makes a commitment to provide a certain minimum quantity or portion of its cargo or freight revenue over a fixed time period, and the NVOCC commits to a certain rate or rate schedule and a defined service level. The NSA may also specify provisions in the event of nonperformance on the part of any party.

Where do I find the regulations on NVOCC service arrangements?

NVOCC service arrangement regulations may be found at 46 CFR Part 531. These are accessible at the Commission website under Statutes and Rules.

If I have questions about tariffs, NVOCC service arrangements or service contracts, including filing a FMC-1 form or a FMC-78 form, whom may I contact?

You may contact the Commission’s Bureau of Trade Analysis, Office of Service Contracts and Tariffs by telephone at (202) 523-5856 or e-mail at  form1@fmc.gov.

I am already licensed as an OTI. What changes in my operations must I report to the Commission?

Generally, all changes in the information contained in a licensee’s initial application must be reported to the Commission. A replacement or the addition of a qualifying individual requires Commission approval. In addition, the transfer of a license or change in legal name, including trade name, requires Commission approval. Changes in business structure or address of headquarters or branch offices must be reported. In most instances, changes must be reported within 30 days from their occurrence.

What should I do if a sole-proprietor dies, or if a qualifying individual leaves?

If a licensed sole-proprietor dies, the licensee’s executor, administrator, heirs, or assign(s) may continue operating only for those shipments for which the deceased had undertaken to provide OTI services. The death must be reported to the Commission and to all principals and shippers within 30 days. The acceptance or solicitation of any other shipments is prohibited until a new license is issued. If the qualifying individual of a partnership or corporation leaves, the licensee must report the departure to the Commission within 30 days. Within this same 30 days, the licensee must nominate and detail the OTI experience of another managing partner or officer to qualify the licensee. The licensee may continue to operate while the Commission investigates the qualifications of the newly designated qualifying individual.

What must I do if I incorporate my business? Change my name?

Newly incorporated licensees, or licensees that have changed their names, must file an amended FMC-18. A fee of $525 will be charged to reissue the license. A corporate charter or amended corporate charter must accompany the application.

What must I do if I change my headquarters address?

If you move, report your new address by letter or on an amended FMC-18. The Commission does not charge for such notification. You must also notify your financial responsibility provider to amend your coverage to show the new address. If you are an NVOCC OTI, you will need to contact your tariff publisher so that a revised FMC-1 Form is filed and your tariff is updated.

What must I do if I open or close an unincorporated branch office?

If you close an unincorporated branch office which was used to perform OTI services, or open an unincorporated branch office, you will need to report this change to the Commission by letter or amended Form FMC-18. Further, you will need to contact your financial responsibility provider so that your coverage is amended to reflect the change. The Commission charges no fees for changes regarding unincorporated branch offices.

What are the requirements of an unlicensed foreign-based NVOCC OTI?

A foreign-based OTI NVOCC that is not resident in, or incorporated or established under, the laws of the United States and intends on remaining unlicensed, must file proof of financial responsibility in the amount of $150,000. It must also identify an agent for service of process in the United States and use a licensed OTI for any OTI services performed in the United States on its behalf. It must also file Form FMC-1 with the Commission and publish a tariff.

May a foreign-based NVOCC OTI obtain an OTI license?

A foreign-based NVOCC OTI may obtain a license by following the requirements mentioned above for obtaining a license. Its qualifying individual may obtain experience outside the United States. The NVOCC must also establish an unincorporated presence in the United States that meets the requirements of the state in which it is located. If the Commission approves the application, the OTI must provide acceptable proof of financial responsibility in the amount of $75,000 plus $10,000 for each additional unincorporated branch office in the United States (not counting the presence established for licensing purposes).

I am an unlicensed foreign-based NVOCC OTI and I no longer want to serve the United States trades, what must I do?

You must notify the Office of Passenger Vessels and Information Processing by phone at (202) 523-5818, facsimile at (202) 523-5830 or e-mail at OTIbonds@fmc.gov that you no longer are operating in the United States trades. You must also notify your tariff publisher and your financial responsibility provider. The Commission will designate your FMC-1 listing as inactive. After this is done, you are prohibited from providing OTI NVOCC services in the foreign commerce of the United States.