Fmc 18 Form – Fill Out and Use This PDF

Form FMC-18 (Rev. 10/07)

OMB NO. 3072-0018 (Expires 02/28/2014)

APPLICATION FOR A LICENSE AS AN OCEAN TRANSPORTATION INTERMEDIARY

FOR USE IN PREPARING

FORM FMC-18

(Rev. October 2007)

FEDERAL MARITIME

COMMISSION

I

PRIVACY ACT AND PAPERWORK REDUCTION ACT NOTICE

General--The information contained in this notice is required to be provided pursuant to Public Law 93-579 (Privacy Act of 1974) 5 U.S.C. 552a, as amended, for individuals completing Form FMC-18 Rev. "Application For A License as an Ocean Transportation Intermediary."

Authority--Sections 15, 17, and 19 of the Shipping Act of 1984, as amended by the Ocean Shipping Reform Act of 1998 and the Coast Guard Authorization Act of 1998 (46 U.S.C. app. 1714, 1716 and 1718), and section 4 of the Administrative Procedure Act (5 U.S.C. 553) authorize and direct the Federal Maritime Commission to make rules and regulations affecting licensing, activities, obligations and responsibilities of ocean transportation intermediaries engaged in carrying on the business of a transportation intermediary in oceanborne foreign commerce of the United States. Pursuant to that authority, the Commission has published in 46 CFR Part 515, regulations and forms to implement section 19 of the Shipping Act of 1984, as amended by the Ocean Shipping Reform Act, with respect to the eligibility and procedure for licensing an ocean transportation intermediary. To obtain a license pursuant to 46 CFR Part 515, the information required by Form FMC-18 Rev. must be provided.

Principal Purpose - The primary purpose for the information requested in Form FMC-18 Rev., is to assist in determining whether an applicant for a license as an ocean transportation intermediary meets the necessary qualifications set forth in 46 CFR Part 515 to be eligible for such a license. After a license is granted, this information is also needed for the purpose of monitoring the activities and status of licensees to ensure they are in compliance with statutory requirements and Commission regulations.

Routine Use - All of the information in Form FMC-18 Rev. may be disclosed for routine use by the agency, as provided in System of Records FMC-7, 72 FR 30009. Where there is an indication of a violation, or potential violation of law, or regulatory requirements, the Agency may also disclose information to the appropriate federal, state or local Agencies.

Disclosure of the requested information including the Social Security number SSN is voluntary. The SSN will be

used as an identifier in conducting a background investigation. Failure to provide any or all of the information requested may result in the FMC’s inability to conduct the background investigation as required prior to the issuance

of a license.

THE TIME IT TAKES TO PREPARE YOUR APPLICATION

According to the Paperwork Reduction Act of 1995, as amended, persons are not required to respond to a collection of information unless it displays a valid OMB control number. The valid control number for this information collection is 3072-0018. The time required to complete this information collection is estimated to average 2 hours per response, including the time to review instructions, research existing data resources, gather the data needed, and complete and review the information collection.

II

FILING INFORMATION

I.BEFORE PROCEEDING

You should familiarize yourself with the rules and regulations pertaining to ocean transportation intermediaries OTI . These rules and regulations are contained in section 1 of the Shipping “ct of 1 4, as

amended by the Ocean Shipping Reform Act of 1998 and the Coast Guard Authorization Act of 1998, and 46 C.F.R.

Part 515 of the Commission's regulations that explains the Licensing and Financial Responsibility Requirements. The section also explains the General Duties for OTIs. Copies of these documents may be obtained from the FMC’s Bureau of Certification and Licensing ”CL or can be found on the Commission’s website www.fmc.gov.

Failure to comply with these rules and regulations may result in denial, revocation or suspension of an ocean transportation intermediary license. Persons operating without the proper license may be subject to civil penalties not to exceed $6,000 for each violation. If the violation is willfully and knowingly committed, in which case the amount of the civil penalty may increase to $30,000 for each violation.

Where To Get Forms

You may obtain copies of the Form FMC-18 and the related Surety Bond Form FMC-4 , at the Commission’s website, www.fmc.gov, or by writing to the Federal Maritime Commission, Bureau of Certification and Licensing, 800 North Capitol Street N.W., Washington, D.C. 20573-0001. You may also telephone BCL, Office of Transportation Intermediaries, at (202) 523-5843 or fax at (202) 566-0011.

Where To Get Help

You may contact BCL any time during normal working hours (8:30 am - 5 pm, EST) by telephone at (202) 523-5843 (Office of Transportation Intermediaries) or by fax at (202) 566-0011.

II. COMPLETING THE FORM

The Form FMC-18, including any attachments, must be submitted in duplicate with all applicable Parts completed. If a question within a Part is not applicable, write "N/A". Incomplete applications will be returned without processing.

ALL APPLICATIONS REQUIRE THE COMPLETION OF PARTS A AND G. Other Parts of the FMC-18 must be completed depending on the particular transaction as follows:

Application for	Parts
Initial application for a license	A B D E F G
License transfer	A B C E F G
Business structure change	A B E F G
Name Change	A C G
Replacement or additional qualifying individual	A D E G
Addition of NVOCC or OFF License	A F G
Addition or Removal of Trade Name	A C G

III

All Applications must be typed, no hand written submissions will be accepted. If additional space is needed to respond to Parts B, D, or E, please photocopy the appropriate page and continue entering the information. Clearly mark supplemental pages 1A, 2B, etc. In any other instance where it is necessary to attach a supplemental sheet, please label the supplemental response to match the item number on the application, e.g. Part B, Question No. 7.

PART A - NAME AND ADDRESS

The complete legal name of the applicant must be shown in this section. If this is an application for a name change or license transfer, please enter the name of the applicant and complete the section C titled Name Change/License Transfer to indicate old name or transferor. A document supporting the legal business name must be attached to the Form FMC-18 with the initial application. Documentation is also required for applications seeking approval of a change in business structure, license transfer, name change, or addition of a trade name, See Part B. All applications must contain a street address indicating the principal place of business (must be the physical address of applicant). Post office boxes are not acceptable as a business address, but may be used for receipt of mail.

A license number should be provided only by those persons who are already licensed. An applicant that previously held an OTI license that was revoked or surrendered, must complete Question No. 3, Part B.

Line By Line Instructions

PART B - BUSINESS INFORMATION

1.Check the appropriate box that applies to the applicant. For corporations, the Articles of Incorporation and minutes of a meeting appointing officers (or other documentation that lists all appointed officers) must be submitted with the application. A "Certificate of Good Standing", issued within 6 months from the date of application, is also needed for any corporation that has been in existence for more than one year. Documentation supporting the use of a trade name must be submitted with an initial application or where the application seeks a change in business

structure, license transfer, or name change. For use of more than one trade name, documentation is needed stating which name will be used with the Ocean Freight Forwarder OFF ) and Non-Vessel-Operating Common Carrier

NVOCC licenses.

2.If the applicant is going to conduct OTI business through branch offices in the US or open up a US branch office, this question must be answered in the affirmative and the number of branch offices indicated. If you answered in the affirmative, complete Part F.

3.If the applicant ever held a license as an ocean transportation intermediary (OFF or NVOCC), or if this is an application for a license transfer, this question must be completed. (For license transfers, the information will be that of the transferring licensee.)

4.Describe applicant's current business activities, e.g. export shipper, steamship agent, air freight forwarder, NVOCC, etc. If applicant is currently licensed as an ocean freight forwarder or an NVOCC, please include your license and bond numbers.

5.If applicant intends to share office space or is currently sharing space with another person or firm, please identify the person/firm and explain the relationship, e.g. parent company, no affiliation-paying rent, sister company with common stock ownership, etc.

6.Identify any person or entity (other than a bank or finance company) who is providing financial assistance to the applicant including anyone who is providing collateral for the surety bond.

7.Check all the boxes that apply. If the response to any question is yes, please attach an explanation.

IV

PART C - NAME CHANGE / LICENSE TRANSFER

8.If you are changing the name of your existing company, the new name of the company should appear here. If you are changing your existing corporation’s business structure do not fill out this section. “n official document

supporting the legal name shall be attached to the Form FMC-18. For corporations, an Amended Articles of Incorporation is needed. For LLPs and LLCs, an Amended Partner Membership Agreement can be used.

If you are changing your trade name or adding a trade name, you must attach the appropriate documentation supporting that name (e.g. A Fictitious Name Statement). If you are deleting a trade name, clearly specify the name being deleted.

If you are transferring a license, state the name of the existing company whose license is being transferred from transferor and identify the company which will receive the license transferee . State if all or part of the

company is being transferred (if only part is being transferred list the parts). Provide an explanation of the business practices of both companies. If the transferor will no longer operate as a business provide dissolution papers.

PART D - QUALIFYING INDIVIDUAL

9.Identify the name and title of the proposed qualifying individual for the applicant. Only the following individuals may be a qualifying individual:

Business Structure	Qualifying Individual
Sole proprietor	Applicant
Partnership	Active managing partner
Corporation	Active corporate officer
Limited Liability Company	Active partner or officer

If applicant is proposing more than one qualifying individual complete Part D for each individual. Use a different letter for each qualifying individual (i.e., A5, A6, A7, B5, B6, B7, etc...).

10.Check all the boxes that apply. If replacing a qualifying individual, list the name of the individual being replaced.

11.Check the box that applies. If the qualifying individual is a corporate officer or partner, attach documentation that will verify that fact, e.g. a copy of the corporate minutes electing the qualifying individual or the partnership agreement.

12.Show the total number of years and months of ocean transportation intermediary experience that the qualifying individual is submitting for consideration. The qualifying individual must have a minimum of three years experience in the ocean transportation intermediary business in the United States in order to be approved. (See 46 C.F.R. §§ 515.2(i), 515.2(l), and 515.11(a).)

13.Check the boxes that apply. If the response to any question is yes, please attach an explanation.

14.Show the employment history of the qualifying individual only as it relates to those jobs where experience

was gained in the ocean transportation intermediary business in U.S. foreign commerce. (Qualifying Individuals for NVOCC’s not in the US may submit proof of OTI experience obtained outside the US. To insure that those work

experiences qualify, it is suggested that you review 46 C.F.R. §§ 515.2(i) and (l) of the Commission's rules. Examples of work experience that are not considered acceptable include experience gained overseas (import) as an ocean freight forwarder, or in air freight forwarding, custom house brokerage, or motor freight forwarding.