An official website of the United States governmentHere’s how you knowHere’s how you know**Official websites use .gov**A **.gov** website belongs to an official government organization in the United States.
				**Secure .gov websites use HTTPS**A **lock**(Locked padlock icon) or **https://** means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.Federal Maritime Commission



Affilite Info for Search FMC.gov
        Search FMC.gov
        SearchFederal Maritime Commission



Menu
				Close
							AboutComplaints and AssistanceLicensing and CertificationProceedingsDatabases and PublicationsNews and Advisories



Affilite Info for Search FMC.gov
        Search FMC.gov
        Search Home
 About
 Bureaus and Offices
 Bureau of Enforcement, Investigations, and Compliance (BEIC)
 Office of Compliance
 On this page
Ocean Transportation Intermediary Compliance Program
Starting the Audit Process
Audit Follow-Up
Recent Non-Compliance Issues
Contact



The Bureau of Enforcement, Investigation, and Compliance (BEIC) actively fosters industry compliance with the Shipping Act and other statutes and regulations within the Commission’s authority. BEIC promotes voluntary compliance through outreach and education to the shipping public and regulated industry, and works closely with the Commission’s Investigators and the Bureau of Certification and Licensing to help OTIs understand their responsibilities and how to comply with the Shipping Act and the Commission’s regulations.



Ocean Transportation Intermediary Compliance Program



The Commission’s Ocean Transportation Intermediary (OTI) Compliance Program is conducted primarily by written correspondence and directly engages the OTI’s management in a quick, high-level review of the OTI’s bonding level, tariff, and current operating status to determine whether additional actions are needed to comply with Commission requirements. The compliance audit also may include review of entities holding themselves out as vessel-operating common carriers (VOCCs) where Commission staff can find no indication of current vessel operations. BEIC then works with the OTI, its tariff publisher, and bonding company, as necessary, to assist the OTI in bringing its operations into compliance.







Starting the Audit Process


A compliance audit starts with a letter of introduction that explains BEIC’s authority and purpose for conducting the audit. Included with BEIC’s letter is a multi-page questionnaire that requests specific information on matters such as:



Current address



Names and information concerning Qualifying Individual(s)



Structure of the organization



Nature and extent of current operations of the OTIA list of OTI regulatory obligations is also provided at the commencement of each compliance audit. The completed questionnaire and any supporting documents must be returned within 30 days.



Audit Follow-Up


During a routine compliance audit, BEIC may identify one or more areas of non-compliance with Commission regulations. In this case, BEIC will follow-up with the OTI in an attempt to resolve any non-compliant aspects of the OTI’s operations. OTI cooperation during the audit is key to achieve prompt completion of the audit and any corrective actions.



Recent Non-Compliance Issues


Based on BEIC audits results, the most common issues encountered during the course of an OTI compliance audit are:



Failure to update Non-Vessel-Operating Common Carrier (NVOCC) rates or maintaining a tariff that contains one rate applicable to “Cargo NOS”



Failure to reflect OTI’s name and license number on OTI’s shipping documents;



Inadequate or retroactive NVOCC Rate Arrangement (NRA); and,



Failure to maintain Qualifying Individual (QI) as current officer of company



Contact


**Glenda Singleton, Director, Office of Compliance****Phone:**202-523-5783**Fax:**202-523-5785**Email:** beic@fmc.gov Return to top
    
    
    
    **FMC Information**
    
    
    
    About the FMC
    
    
    
    Employment Opportunities
    
    
    
    Site Policies
    
    
    
    FOIA
    
    
    
    **Government Information**
    
    
    
    Inspector General
    
    
    
    U.S. Office of Special Counsel
    
    
    
    Open Government at the FMC
    
    
    
    USA.gov
    
    
    
    Federal Maritime Commission
    
    
    Our mission is to **ensure a competitive and reliable** **international ocean transportation supply system** that supports the U.S. economy and protects the public from unfair and deceptive practices.
    
    
    
    X
    
    YouTube
    
    LinkedIn800 North Capitol Street, N.W.Washington, D.C. 20573inquiries@fmc.gov