The Federal Maritime Commission Newsroom


FMC Announces OMB Approval of Form FMC-78-NVOCC Service Arrangement Registration, issued November 16, 2004

November 17, 2004

Federal Maritime Commission
Washington, D.C. 20573 


NR 04-15 (Revised)



CONTACT:   Bryant L. VanBrakle, Secretary at (202) 523-5725


FOR RELEASE: November 17, 2004


The Commission today received notice from the Office of Management and Budget that it has approved the use of Form FMC-78, NVOCC Service Arrangement Registration.


At its meeting held on October 27th, the Commission voted to issue a Notice of Proposed Rulemaking to permit non-vessel-operating common carriers (""NVOCCs"") to offer NVOCC Service Arrangements (""NSAs""), individually-negotiated contracts between NVOCCs and their shipper-customers. As explained at that meeting, NVOCCs who avail themselves of the opportunity to enter into NSAs would be required to obtain a log-on identification number (log-on ID) and a password to obtain access to the Commission's internet-based SERVCON system in order to file their NSAs. The Chairman had requested expedited approval from the Office of Management and Budget to collect the information necessary to allow the Commission to issue log-on IDs and passwords to interested NVOCCs in advance of issuance of a final rule in this docket. The Commission intends to issue log-on IDs and passwords to interested NVOCCs prior to issuance of the final rule so that in the event the rule becomes effective as intended, those NVOCCs with log-on IDs and passwords will be able to file NSAs immediately. Obtaining IDs and passwords prior to implementation of the final rule does not authorize entering into or filing of NSAs prior to the rule's effective date.


NVOCCs wishing to obtain log-on IDs and passwords to enable them to file into the Commission's automated system may begin the registration process today. Form FMC-78 and its instructions, indicating the OMB control number, are attached to this press release.  A downloadable Form FMC-78 and its instructions also are located at  Registrants wishing to send their registration form by facsimile may do so to the Commission's Bureau of Trade Analysis at (202) 523-5867. Please note that this number has been amended since issuance of the proposed rule.


Instructions For Form FMC-78

Completed Form FMC-78 should be sent by mail or facsimile to:

Federal Maritime Commission
Bureau of Trade Analysis
800 N. Capitol Street, NW
Washington, DC 20573-0001
Fax (202) 523-5867


 Line 1. Organization Number. This is the same as the Regulated Persons Index ("RPI") Number.

Line 2. Registrant. Provide the full name of the firm or individual registering for the automated NSA filing system and any trade names. The Registrant's name should match the corporate charter or business license, etc. The Registrant's name cannot be changed without submission of an amended registration form.

Line 3. FMC License Number. Provide name of Registrant as licensed by the Commission and date of the effectiveness of that license. If Registrant is a bonded but unlicensed foreign-based NVOCC operating pursuant to Commission's regulations at 46 C.F.R. § 515.3, indicate the name and address of the agent for service of process as required by 46 C.F.R. § 515.24. The name and address of the agent for service of process must be the same as that appearing in the NVOCC's tariff, as provided by 46 C.F.R. § 520.11 (b).

Line 4. Registration. Indicate whether this is the initial (first time) registration or an amendment to an existing NSA registration.

Line 5. Address of Headquarters Office. The complete street address of the Registrant's principal place of business should be shown in addition to a post office box (if any). Post office box alone is insufficient. Provide the Registrant's Federal Taxpayer Identification Number, if any.

Line 6. Mailing Address (if different). Provide the mailing address only if it differs from the headquarters address listed in Line 5. Show the street address as well as any post office box. This is the address to which the Registrant's log-on I.D. and password will be mailed via U.S. mail. Also, if the log-on I.D. and password is to be mailed to a third party, indicate here.

Line 7. Persons to be granted registration. Provide the full name of the individual for whom the log-on I.D. and password is requested. If you wish to transfer a log-on I.D. from an existing registration to a new individual, indicate the name of the new registrant and the log-on I.D. to be assigned.

Line 8. Registration by Third Party. Indicate, by checking the applicable box, whether the person to be granted registration in Line 7 is a third party (publisher, agent, etc.) of the registrant named in Line 1. The registration must be accompanied by an indication that the NVOCC has authorized the third party to file NVOCC service arrangements and related documents on its behalf.

Line 9. Signature of Authorized Official. Indicate the date the registration was signed and title of authorized official.



Paperwork Reduction Act Notice.

The collection of this information is authorized generally by section 16 of the Shipping Act of 1984, 46 U.S.C. app. § 1715.

This is an optional form. Submission is completely voluntary. Failure to submit this form will in no way impact the Federal Maritime Commission's assessment of your firm's financial responsibility; however, you will not be able to use the exemption set forth in the Commission's rules at 46 C.F.R. part 531.

You are not required to provide the information requested on a form that is subject to the Paperwork Reduction Act unless the form displays a valid OMB control number. The valid control number for this information collection is 3072-0067. Copies of this form will be maintained until the filer indicates s/he will no longer file NSAs into the electronic filing system.

The time needed to complete and file this form will vary depending on individual circumstances. The total estimated average time to complete this form is: Recordkeeping, 20 minutes; Learning about the form, 20 minutes; Preparing and sending the form to the FMC, 20 minutes.

If you have comments concerning the accuracy of these time estimates or suggestions for making this form simpler, we would be happy to hear from you. You can write to the Secretary, Federal Maritime Commission, 800 North Capitol Street, N.W., Washington, D.C. 20573-0001, or e-mail:


OMB No. 3072-0067 (expiration date: 5/31/2005)




1. Organization No.                                            &nbs​p;   


2. Registrant                                           &nbs​p;                        &nbs​p;                        &nbs​p;                        &nbs​p;          

                        Full Legal Name of firm (or individual, if not a firm)


                                                      ​;                         ​;                         ​;                         ​;                    

                       (Doing Business As or Trade Name)


3. a. NVOCC OTI License                                            &n​bsp;           No. Effective date                                &​nbsp;              





b. If foreign-based unlicensed NVOCC, provide the following information for agent for service of process:


Name:                                               &n​bsp;                        &n​bsp;              

Address:                                          &nb​sp;                        &nb​sp;                

                                        &​nbsp;                        &​nbsp;                        &​nbsp;        

                        &nb​sp;                        ​                         ​                         ​


4. This Registration is: [ ] Initial [ ] Amendment (Specify change)


5. Headquarters
    Address                                             &nb​sp;                        &nb​sp;         
(        )                                   
                         (Number and Street)                                         &n​bsp;                     Telephone

                                                  ​                         ​                      (        )                                    

  (Number and Street)                               &nbs​p;                        &nbs​p;        Fax


                        &nb​sp;                        &nb​sp;                        &nb​sp;                        &nb​sp;                        &nb​sp;                        &nb​sp;       

(City/State/Zip/Country)                        (Federal TIN Number, if any)             E-Mail (optional)


6. Mailing
                           &​nbsp;                        &​nbsp;                     
(       )                                  

(If different)       (c/o Name)                                          &nbs​p;                        &nbs​p;           Telephone



                                              &n​bsp;                        &n​bsp;                        &n​bsp;(         )                                               

(Number and Street)                                 &nb​sp;                        &nb​sp;       Fax

                                      &nbs​p;                        &nbs​p;                        &nbs​p;                        &nbs​p;                                          
(City/State/Zip/Country)                                                     ​;        E-Mail (optional)


7. Person(s) to be granted registration. Please list individual(s) for whom a log-on identifier is requested. 
    If this is a transfer of log-on, please list the existing name and existing log-on ID:


Name:                                    ​;                         ​;                   Existing Log-on:                               &nbs​p;                    


8. Is the person listed in question 7 a third party? (check one) [ ] Yes [ ] No 
    If yes, a letter of authority must be submitted with this form.


                                         ​                         ​                                                              &nb​sp;                         
Signature of Authorized Official                                      Print or type name of Authorized Official


                                      ​;                         ​;                       &nbs​p;                                           ​;                         ​;         
                         ​;                         ​;          Title of Authorized Official







 ID___________________ Directory__________________ DateAsg_____/_____ AsgBy___________________________