1. Industry License Renewals

2. Triennial Status Report and Fee
Customs Broker
Triennial Status Report and Fee
When is the status report due to Customs?
Federal regulations specify that the triennial status report is due by February, every three years, starting from 1985; therefore, future triennial status reports will be due: 2015, 2018, 2021, etc.
Is there a grace period for filing late?
No, reports are accepted January 01 through February 28 of the year due.
Licenses will be suspended on March 01st if not filed
Where should report be filed
To the director of the port who delivered the license to the broker
Reports should NOT be filed with Headquarters and will be considered unfiled if received by HQ.

3. Triennial Status Report and Fee
Customs Broker
Triennial Status Report and Fee
Individual
Every license issued to an individual requires a status report and fee - $ each
No specific form is required – CBP provides a sample form
Corporation
A status report is required for every Corporation, Limited Liability company, Association or Partnership
Each district must present a current employee list
Regulations found in 19 CFR

4. IAC – Indirect Air Carrier
Considered an Air Freight Forwarder
Regulated by the Transportation Security Administration (TSA)
Program considered sensitive secured information
Maintains a current Indirect Air Carrier Standard Security Program (IACSSP) – Renewed annually
Renew Security Threat Assessment (STA) within the TSA Portal every 5 years
Update changed information within thirty days
Pass spot inspection
Regulations found in 49 CFR Part 1548

5. FMC - Federal Maritime Commission
Regulates Ocean Transportation Intermediaries (OTIs)
Regulations found in 46 CFR 515
Ocean Freight Forwarder
A person that serves as an agent of the shipper to arrange ocean cargo transportation from the US and provides or processes the documentation incidental to the ocean shipment
NVOCC (Non-Vessel Operating Common Carrier
One that does not operate vessels, but provides carriage of international ocean cargo by issuing Bills of Lading for the move. The NVOCC is
Carrier to the Cargo Owner and Shipper to the Master Carrier

6. FMC - Federal Maritime Commission
Ocean Transportation Intermediary
License ending in
1 = January 5 = May = August
2 = February 6 = June = September
3 = March 7 = July = October
4 = April
Second to last number
, etc.

7. FMCSA – Federal Motor Carrier Safety Administration
Motor Carrier is assigned a USDOT number and is required to complete a biennial report even when nothing has changed
Biennial Report due
USDOT Number ends in 1=January, 2=February, 3=March……0=October
USDOT Number next to last number is even = due even years; odd = due odd years
Failure to file
Deactivation of USDOT authority
Penalties up to 1,000 per day, not to exceed 10,000
Regulations found in 49 CFR Parts

8. FMCSA – Federal Motor Carrier Safety Administration
Motor Carrier of Property – Asset based carrier
Provides carriage using self propelled vehicles - owned rented or leased
Issues Bills of Lading
Is assigned a USDOT number – required biennial report
Is responsible for freight loss or damage
Freight Forwarder – Domestic – non-asset based carrier
Provides carriage with a FMCSA licensed carrier
Is assigned an FF number - updates only when there are changes
Broker of Property
Arranges carriage with a FMCSA licensed carrier
Does not issue bills of lading or take physical possession
Is assigned a MC number - updates only when there are changes
Not normally responsible for freight loss or damage

9. FMCSA – Federal Motor Carrier Safety Administration
If you you might be a carrier
have “too much control” over the inland move
refer to carriers as your “partners” in marketing materials or on your website
request that the carrier assign named drivers to your load
identify yourself as the carrier on the bill of lading or allow the carrier to affix your name on the bill of lading
instruct the driver to call the broker first if an incident occurs
claim you have “control over all aspects of the operations”

10. THANK YOU

11. OCEAN FREIGHT FORWARDER & NVOCC
LICENSE UPDATE SYSTEM
NCBFAA Conference, April 4, 2017

12. Ocean Transportation Intermediaries (OTIs) License Updates
WHO?
All 4,823 licensed OTIs – Ocean Freight Forwarders and NVOCCs
WHEN?
Updated once every 3 years – date is based on your license number
HOW?
No Fee
Online
Notices from the FMC via to the address on file
Approximately 150 license updates per month - phased-in over three years
A licensee can designate a third party to complete the update on their behalf so long as the third party is an FMC Practitioner or an Attorney
notification will be sent directly to the OTI. Tariff Publishers will also receive notifications for their NVOCC clients.

13. When is a license updated?
Last & Next to Last Digits of the LICENSE NUMBER determine the month & year of update
FMC License number ending in:
Must file by last day of: 1
January 2
February 3
March 4
April 5
May 6
June 7
July 8
August 9
September
October
Next to Last Digit of FMC License
Year of Update
1,2,3
2017
2020
2023
2026
2029
2032
2035
4.5.6
2018
2021
2024
2027
2030
2033
2036
7,8,9,0
2019
2022
2025
2028
2031
2034
2037
The OTI list found on the FMC website has the specific date for each license update.

14. Ocean Freight Forwarders and NVOCCs LICENSE UPDATE SYSTEM STATUS
The system was launched on March 2, 2017
NCBFAA Education Institute (NEI) webinar March 15, 2017 – available on the NCBFAA website
addresses will be used for all FMC official notifications
148 Licensees received notices on March 2
The first license was updated within 5 minutes
30 licenses were updated on during the first 3-days
55 licenses were updated during the first two weeks.
3 “error messages” encountered and resolved
2 undeliverable notices – both resolved

15. Ocean Transportation Intermediaries (OTIs) Ocean Freight Forwarders and NVOCCs
Messages will be sent to the primary address on file until the license update is completed.
150 days prior to the license update deadline a “test message” is sent – about 10% of these messages are “undeliverable”
90, 60, 30, & 15 days prior to the license update deadline (to the OTI & Tariff Publisher)
On the date of the license update deadline (to the OTI & Tariff Publisher)
15 days past the deadline (to the OTI & Tariff Publisher)
30 days past the deadline a notice of intent to revoke the license will be sent
If you are not receiving these s check your junk mail first – then contact the FMC at or (202)

16. Ocean Transportation Intermediaries (OTIs) Ocean Freight Forwarders and NVOCCs
The OTI notification(s) will contain
USERNAME
PASSWORD
LINK TO THE LICENSE UPDATE SYSTEM
Upon receipt of this message the OTI will be able to log on to the system. The update should be completed no later than the date shown on the FMC website. The OTI can designate a third party to complete the update.

17. Ocean Freight Forwarders and NVOCCs Not a License Update
The License Update System will not process changes to the following:
Legal Name
Trade Name(s) – added, deleted, changed
Qualifying Individual
Business Structure – Corp, LLC, Sole Proprietorship
Sole Proprietorship ownership
The system will redirect you to the FMC18 application
Over 10% of licensees contacted for an address required the FMC18 application

18. MISSING INFORMATION?

19. Ocean Freight Forwarders and NVOCCs Missing information?
The License Update System pulls information from multiple FMC databases
Registered Persons Index (RPI) – manually updated by the FMC staff
FMC1 (Tariff) – as electronically submitted by OTI
FMC18 (License application) – as electronically submitted by OTI
Some OTIs have never submitted electronic application(s) with the FMC
The License Update System may not prepopulate the following:
Branch Offices
Officers
Ownership
To the best of my knowledge and belief, it is true, correct, and complete
Please complete all sections

20. Ocean Freight Forwarders and NVOCCs Looking forward
All notifications via
Self Service
E-Bonds
No more paper
Character perfect bonds
Address match
Updating the OTI list on the FMC website
Branch Offices
Website link to each OTI
Other suggestions?

21. QUESTIONS. oti@fmc. gov or (202)523-5843 cjohnson@fmc
QUESTIONS? or (202) or (202)

22. SUPPLEMENTAL SLIDES IF TIME PERMITS / TO ANSWER QUESTIONS

23. User Name
Link to System
Password

24. External User – Notification For NVOCCs ONLY – the Tariff Publisher will receive notifications But no action can be taken by the publisher until designated by the OTI
To: Tariff Publisher via
NAME OF OTI COMPANY
123 MAIN STREET
CAPITAL CITY, CA 91234

25. External User Login Login User Name: Password: Reset Password
Login - Form 18 OTI License Renewal
Login
User Name:
Password:
Reset Password
For any questions contact us at or telephone #

26. External User View with multiple entities
The Status may be
Current, Assigned, or
Submitted
Click on the OTI to be updated
An external user, such as a third party filer or an entity with multiple licenses, will see all of “their” entities listed. Click on the entity to be processed.

27. External User – Initial Questions Legal Name / Qualifying Individual / Trade Names / Structure / Ownership If the answer is YES to any of these questions a “change application” is required before renewal
A legal name change
due to marriage or any
other reason is not a change
If any question is answered “yes”, click here
and proceed to the change application
If all questions are answered “no”
Click here

28. External User Third Party Assignment
CLICK ONE OF THESE TWO BOXES
View or Edit License Renewal
Request Third Party to Complete Renewal
The OTI can view only before deciding to self renew or to assign to a third party, but once the third party is selected the renewal is locked to the OTI

29. External User Requesting a Third Party to complete the license update
Request Third Party Complete Renewal
Firm Name:
Contact Name:
Contact
Telephone Number:
Your third party may already be preapproved for renewals. Ask your third party if they have an address they normally use with FMC systems (i.e. FMC1, FMC18). If the address associated with our systems is entered here the approval should be automatic.

30. External User - Email Notification Confirmation of Designation of Third Party
OTI INC.
OTIS SMITH, JR.
8062 CLOVER WAY
GARDEN PARK, CA 90990

31. External User Notification received by Third Party

32. External User- Update View 1. Name of Corporation & 2
External User- Update View 1. Name of Corporation & 2. Trade Names CAN NOT BE UPDATED AS PART OF THE LICENSE UPDATE PROCESS
These fields are “greyed out” and can not be updated.
Changes to these fields require a “change application”

33. External User – Update View 3. Address / 4. Contact Person
OTIS SMITH
The address entered here will be used for all FMC official notifications and must be for the licensee NOT a third party.

34. External User – Update View 5. Mailing Address (if different) / 6
External User – Update View 5. Mailing Address (if different) / 6. Phone / 7. Business Type & TIN
Sole Proprietorship
LLC
LLP
Corporation
Drop down selection

35. External User – Update View 8. Officers and Owners / 9
External User – Update View 8. Officers and Owners / 9. Affiliations / 10. Branch Offices
ADD, EDIT, OR DELETE AN OFFICER, AFFILIATION, AND/OR BRANCH OFFICE

36. External User – Update View Certification
Certification the information is correct
Save Draft
Submit
Quit
Leave without saving
Save Work &
Return later
Ready to go

37. External User License Update Successfully Submitted

38. External User License Update Accepted

39. QUESTIONS. oti@fmc. gov or (202)523-5843 cjohnson@fmc
QUESTIONS? or (202) or (202)