Ocean Transportation Intermediaries


An Ocean Transportation Intermediary is either an ocean freight forwarder or a non-vessel operating common carrier (NVOCC).   An ocean freight forwarder is an individual or company that dispatches shipments from the United States via common carriers 和 books or otherwise arranges space for those shipments on behalf of shippers. Ocean freight forwarders also prepare 和 process the documentation 和 perform related activities pertaining to those shipments. An NVOCC is a common carrier that holds itself out to the public to provide ocean transportation, issues its own house bills of lading or equivalent document, but does not operate the vessels by which ocean transportation is provided, 和 is a shipper in relation to the involved ocean common carrier.

Ocean freight forwarders are required to obtain a license to provide services in the United States. U.S.-based NVOCCs are also required to be licensed. NVOCCs that are not based in the U.S. are not required to be licensed, but may choose to obtain one if desired, as licensing results in lower financial responsibility levels.

To obtain a license, an OTI must submit 形式FMC-18 和 a fee in the amount of $825. 形式FMC-18 is available on the Commission's website. 的 applicant must appoint a qualifying individual with at least three years of demonstrable OTI experience 和 who is an officer of the applicant's corporation, is the sole proprietor or who is a partner in a partnership. Proof of this position must be submitted. 对你.S.-based OTIs the qualifying individual's experience must have been gained in the United States.为班.S.-based NVOCC license applicants, the qualifying individual may have gained experience outside the U.S. Applications are filed for changes such as change in qualifying individual, 的名字, address, 业务结构变化, additions or removals of trade 的名字s, or other changes of information reported on the original 形式FMC-18. For changes in qualifying individual or changes that result in the issuance of an amended license, 费用是525美元.

Once an application is submitted, FMC staff will review the application, 文档, contact references 和 investigate the applicant. Should the application be approved, the applicant will be notified of the approval 和 will be required to submit proof of financial responsibility (most likely a surety bond), 总共是50美元,000 (for an ocean freight forwarder license) or $75,000(适用于无船承运人许可证). For each unincorporated branch office in the United States performing OTI services, the OTI is required to increase its bond by $10,000 和 to report the addresses of those offices. Once a license has been issued to an NVOCC, it must 文件形式FMC-1 which notifies the Commission of the location of the NVOCC's electronically available tariff. It must then ensure the tariff is published.

班.S.-based NVOCCs that do not wish to be licensed must provide the Commission with proof of financial responsibility in the amount of $150,000, 文件形式FMC-1, 和 ensure a tariff is published at the site listed on the Form FMC-1. 一个班.S.-based NVOCC must list in its tariff an agent for service of process in the United States, 和 it must use a licensed OTI for any OTI services performed on its behalf in the United States.

班.S.-based NVOCCs that choose to be licensed must submit 形式FMC-18, together with the required documentation 和 the fee.In addition it must establish a presence in the United States such as an unincorporated branch office.的 qualifying individual may obtain his experience outside the U.S.的 amount of financial responsibility is $75,000 + 10美元,000 for each unincorporated branch office in the United States other than the one used to establish a presence.A Form FMC-1 must be filed 和 a tariff published.

An OTI NVOCC may be a shipper signatory to service contracts with vessel-operating common carriers. 的 shipper party will need to certify on the signature page its shipper status. 的 vessel-operating common carrier is required to obtain proof that the NVOCC is appropriately licensed for U.S.-based NVOCCs, bonded, 和 has published a tariff.

在委员会,委员会 Bureau of Certification 和 Licensing h和les all OTI applications 和 OTI bonds 和 bond riders submitted as proof of financial responsibility. 的 贸易分析局 h和les all tariff 和 service contract-related matters. 

More information on OTIs may be obtained at the following links:  

          OTI规则: CFR第515部分, 46 CFR第520部分, 46 CFR第530部分46 CFR第531部分

          Shipping Act of 1984, as amended           形式


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