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If you work for a Federal agency, use this drafting To be eligible for an ocean transportation intermediary license, the applicant must demonstrate to the Commission that: (1) It possesses the necessary experience, that is, its qualifying individual has a minimum of three (3) years' experience in ocean transportation intermediary activities in the United States, and the necessary character to render ocean transportation intermediary services. An applicant may request a hearing on the proposed denial by submitting to the Secretary, Federal Maritime Commission, Washington, DC 20573, within twenty (20) days of the date of the notice, a statement of reasons why the application should not be denied. 9. Subpart C - Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. of the applicant that perform OTI services. involved with foreign water borne commerce. Documentation The experts in U.S. Federal Maritime regulations since 1975. A rider to the bond should list the qualifying branch address in the United States. Any change in the facts Note: If you are a noncustodial parent, the term "qualifying child" for head of household Form FMC-18must be filed for any changes to a licensee: Other changes to information reported on the original Form FMC-18 may be reported by an officer of the company via email to oti@fmc.gov. commerce. The term "qualifying individual" (QI) is added and defines QI as an individual who meets the Shipping Act's experience and character requirements. (b) Operation after death of sole proprietor. The Office of the Federal Register publishes documents on behalf of Federal agencies but does not have any authority over their programs. . A license issued to a sole proprietor doing business under a trade name shall be in the name of the sole proprietor, indicating the trade name under which the licensee will be conducting business. The notice of revocation or suspension will provide, in detail, a statement of the facts supporting the action. (b) Group financial responsibility. 515.26 Termination of financial responsibility. here. This benefit was federally funded and set to expire at the end of 2010, but President Obama signed a . The underwriting Surety will promptly notify the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, in writing by mail or email (bcl@fmc.gov), of all claims made, lawsuits filed, judgments rendered, and payments made against this bond. 10. A true copy, or if oral, a true and complete memorandum, of every special arrangement or contract between a licensed freight forwarder and a principal, or modification or cancellation thereof. (f) Compensation; services performed by underlying carrier; exemptions. Such registered NVOCC shall be strictly responsible for the acts and omissions of its employees and agents, wherever they are located. 41107-41109). A second qualifying individual may qualify on behalf of the company with 5 or more years of experience or with 2 to 4 years of experience by taking an exam administered by the Division . FAR). (d) Common carrier. Post office documentation that lists all appointed officers) must be submitted with the Displaying title 46, up to date as of 3/02/2023. (3) Notices required by this section shall include the name of the claimant, name of the court and case number assigned, and the name and license or organization number of the OTI involved. In witness whereof we have hereunto set our hands and seals on this ____________day of ____, 20____. A qualifying individual must have at least three years of demonstrable OTI experience in the U.S. trades that can be confirmed by the FMC and, be an officer of the company. Whereas ____ (Name of Applicant [indicate whether NVOCC or Freight Forwarder]) (hereinafter Applicant) is or may become an Ocean Transportation Intermediary (OTI) subject to the Shipping Act of 1984 (46 U.S.C. License Application Form FMC-18 is found at the Commission's website www.fmc.gov for completion on-line by applicants and licensees. Corporation), [80 FR 68738, Nov. 5, 2015; 81 FR 4593, Jan. 27, 2016], Optional Rider for Additional NVOCC Financial Responsibility [Optional Rider to Form FMC-48]. The bond, insurance, or other surety may be available to pay such claim if: (i) The ocean transportation intermediary consents to payment, subject to review by the financial responsibility provider; or. Prior to the date it commences furnishing ocean transportation intermediary services, every ocean transportation intermediary shall establish its financial responsibility for the purpose of this part by one of the following methods: (a) Surety bond, by filing with the Commission a valid bond on Form FMC-48. 13. 862. (d) Federal military and civilian household goods. If When assessing an application to be an RFMC, LFMC or VCFM, MAS takes into account factors such as: Fitness and propriety of the applicant, its shareholders and directors. appropriate box that applies to the applicant. FMC-18, including any attachments, must be submitted in duplicate with all is available with paragraph structure matching the official CFR The Surety shall not be liable for any transportation-related activities of the OTIs identified in Appendix A as covered by the Principal after the expiration of the 30-day period, but such termination shall not affect the liability of the Principal and Surety for any transportation-related activities occurring prior to the date when said termination becomes effective. If rejected, a notice, together with the reasons therefore, shall be sent to the foreign-based unlicensed NVOCC. 515.19 Registration of foreign-based unlicensed NVOCC. apply. (d) The Federal Maritime Commission shall not serve as depository or distributor to third parties of bond, guaranty, or insurance funds in the event of any claim, judgment, or order for reparation. endstream endobj 1209 0 obj <>/Metadata 71 0 R/Pages 1206 0 R/StructTreeRoot 112 0 R/Type/Catalog>> endobj 1210 0 obj <>/MediaBox[0 0 612 792]/Parent 1206 0 R/Resources<>/Font<>/ProcSet[/PDF/Text/ImageC]/XObject<>>>/Rotate 0/StructParents 0/Tabs/S/Type/Page>> endobj 1211 0 obj <>stream Check all the boxes that If you have any questions regarding the OTI list, please contact Commission staff at (202) 523-5787 Tariq I. Belion, Qualifying Individual (QI) Easha Belion, President Application Type: New NVO & OFF License. The Bureau of Enforcement, Investigation, and Compliance (BEIC) actively fosters industry compliance with theShipping Act and other statutes and regulations within the Commissions authority. completed. (c) Information provided to the principal. SAF/FM is composed of four directorates, or "3-Letter" organizations, each . c. This Rider is effective the ____ day of ____, 20____, and shall continue in effect until discharged, terminated as herein provided, or upon termination of the Bond in accordance with the sixth paragraph of the Bond. application to make certain that all applicable parts have been completed and 40902 and this part; and. For LLPs and LLCs, an Amended Partner Membership that apply. (e) Other changes. (b) Arrangements with unauthorized persons. Ocean Transportation Intermediary (OTI) Bond Form [Form 48], Ocean Transportation Intermediary (OTI) Insurance Form [Form 67], Ocean Transportation Intermediary (OTI) Guaranty Form [Form 68], Ocean Transportation Intermediary (OTI) Group Bond Form [FMC-69], Optional Rider for Additional NVOCC Financial Responsibility (Optional Rider to Form FMC-48) [FORM 48A], PART 515 - LICENSING, REGISTRATION, FINANCIAL RESPONSIBILITY REQUIREMENTS AND GENERAL DUTIES FOR OCEAN TRANSPORTATION INTERMEDIARIES, Subpart B - Eligibility and Procedure for Licensing and Registration. (c) Guaranty, by filing with the Commission evidence of guaranty on Form FMC-68. ever held a license as an ocean transportation intermediary (OFF or NVOCC), or No licensed freight forwarder shall charge or collect compensation in the event the underlying common carrier, or its agent, has, at the request of such forwarder, performed any of the forwarding services set forth in 515.2(h), unless such carrier or agent is also a licensed freight forwarder, or unless no other licensed freight forwarder is willing and able to perform such services. %PDF-1.6 % Assura (202) 523-5843 before filing your application. these rules and regulations may result in denial, revocation or suspension of 41104(a)(11), unless the common carrier knew that such NVOCC or OFF was not in compliance with the applicable tariff or financial responsibility requirements. An independently qualified applicant may be granted a separate license to carry on the business of providing ocean transportation intermediary services even though it is associated with, under common control with, or otherwise related to another ocean transportation intermediary through stock ownership or common directors or officers, if such applicant submits: A separate application and fee, and a valid instrument of financial responsibility in the form and amount prescribed under 515.21. The required OTI experience of the QI of a foreign-based NVOCC seeking to become licensed under this part (foreign-based licensed NVOCC) may be acquired in the U.S. or a foreign country with respect to shipments in the United States oceanborne foreign commerce. Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. The notice of intent to deny the application will provide, in detail, a statement of the facts supporting denial. (ii) The ocean transportation intermediary fails to respond within forty-five (45) days from the date of the notice of the claim to address the validity of the claim, and the financial responsibility provider deems the claim valid. or fax at (202) 566-0011. (b) To whom issued. [80 FR 68732, Nov. 5, 2015, as amended at 81 FR 59144, Aug. 29, 2016; 83 FR 50294, Oct. 5, 2018; 84 FR 62467, Nov. 15, 2019]. In the case of a guaranty covering the liability of a group or association of OTIs, Guarantor's obligation extends only to such damages, reparations or penalties described herein as are not covered by another insurance policy, guaranty or surety bond held by the OTI(s) against which a claim or final judgment has been brought. being replaced. The Electronic Code of Federal Regulations (eCFR) is a continuously updated online version of the CFR. NVOCC OTIs that do not have an active Form FMC-1 on file with the Commission are not considered to be in compliance with regulatory requirements, and therefore, are not included on this list. During a routine compliance audit, BEIC may identify one or more areas of non-compliance with Commission regulations. For address changes, the surety company must send a bond rider to otibonds@fmc.gov. 41301-41302, 41305-41307(a)), or any penalty assessed against the ocean transportation intermediary pursuant to section 13 of the Act (46 U.S.C. (a) Necessary qualifications. assistance to the applicant including anyone who is providing collateral for (h) Freight forwarding services refers to the dispatching of shipments on behalf of others, in order to facilitate shipment by a common carrier, which may include, but are not limited to, the following: (2) Preparing and/or processing export documents, including the required `electronic export information'; (3) Booking, arranging for or confirming cargo space; (4) Preparing or processing delivery orders or dock receipts; (5) Preparing and/or processing common carrier bills of lading or other shipping documents; (6) Preparing or processing consular documents or arranging for their certification; (9) Assisting with clearing shipments in accordance with United States Government export regulations; (10) Preparing and/or sending advance notifications of shipments or other documents to banks, shippers, or consignees, as required; (11) Handling freight or other monies advanced by shippers, or remitting or advancing freight or other monies or credit in connection with the dispatching of shipments; (12) Coordinating the movement of shipments from origin to vessel; and. It is not an official legal edition of the CFR. If the response to any question is yes, please attach an explanation. preclude licensing. Each forwarder shall retain evidence in its shipment files that the forwarder, in fact, has performed the required services enumerated on the certification. Each applicant shall be investigated in accordance with 515.13. the qualifying individual only as it relates to those jobs where experience was Officers: Luis A. Marquez, President, (Qualifying Individual). The Qualifying Individuals (QIs) program is an extension of QMB. ownership, etc. How to Amend the Title/Business Address for an Existing Qualifying Individual 1. at (202) 566-0011. NZICA Accredited body report The licensed freight forwarder's name may appear with the name of the shipper, but the forwarder must be identified as the shipper's agent. gained in the ocean transportation intermediary business in U.S. foreign (b) Filing of license application forms. It should be noted that fees will not be returned in any The Principal or financial responsibility provider will promptly notify the underwriting Surety in writing and the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, by mail or email (bcl@fmc.gov), of any additions, deletions or changes to the OTIs enumerated in Appendix A. If the applicant is 8, 1999, as amended at 78 FR 42888, July 18, 2013], (a) Filing of proof of financial responsibility -. When a licensed freight forwarder is a shipper or seller of goods in international commerce or affiliated with such an entity, the licensed freight forwarder shall have the option of: (1) Identifying itself as such and/or, where applicable, listing its affiliates on its office stationery and billing forms, or. licensed. (2) An ocean transportation intermediary must report branch offices to the Commission in Form FMC-18 or under the procedures in 515.20(e). (1) Any person in the United States advertising, holding oneself out, or acting as an ocean freight forwarder as defined in 515.2(m)(1) shall furnish evidence of financial responsibility in the amount of $50,000. This group bond shall inure to the benefit of any and all persons who have obtained a judgment or made a settlement pursuant to a claim under 46 CFR 515.23 for damages against any or all of the OTIs identified in Appendix A not covered by said OTIs' insurance policy(ies), guaranty(ies) or surety bond(s) arising from said OTIs' transportation-related activities under the Shipping Act, or order for reparation issued pursuant to section 11 of the Shipping Act, and to the benefit of the Federal Maritime Commission for any penalty assessed against said OTIs pursuant to section 13 of the Shipping Act (46 U.S.C. (j) Prohibition. 40902 and this part; or. They will have to be provisionally registered with PMC before the start of . As a 64 FR 11171, Mar. The Register can be searched here. the amount of the civil penalty may increase to $30,000 for each violation. These recordkeeping requirements are independent of the retention requirements of other federal agencies. In addition to applying for an FMC, you will also need a business BCeID account. 155.1026 Qualified individual and alternate qualified individual. Electronic certification must contain confirmations by the forwarder and the carrier identifying the shipments upon which forwarding compensation may be paid. 40101-41309, and, if necessary, has a valid tariff published pursuant to 46 CFR part 515 and 520, and pursuant to section 19 of the Shipping Act (46 U.S.C. 1/1.1 40901-40904) and this part. xZmoFna?R%(sd9u9IMqh,9$;,XKr(K Efggyv7HU~a|Q1Y/97..nx/OINd/'d|lpz9||mmSX=}8=lT}== &lL~_'mzU]3 HYc%BfK? std$: #zVs`q -?_=UI WLze? r*"Crz3alF\/ X^9|O8JrW){ZR)KH~()> 'e2(q4P~D (Qualifying Individuals for NVOCCs not in the US may submit proof of 40501 and part 520 of this chapter, and a bond, insurance, or other surety as required by 46 U.S.C. (g) Termination or suspension of registration -. Failure to reflect OTIs name and license number on OTIs shipping documents; Inadequate or retroactive NVOCC Rate Arrangement (NRA); and, Failure to maintain Qualifying Individual (QI) as current officer of company. Should applicant fail to file the requisite proof of financial . endstream endobj startxref (q) Reduced forwarding fees means charges to a principal for forwarding services that are below the licensed ocean freight forwarder's usual charges for such services. Navigate by entering citations or phrases 515.14 Issuance, renewal, and use of license. No conference or group of common carriers shall deny in the export commerce of the United States compensation to an ocean freight forwarder or limit that compensation, as provided for by section 19(e)(4) of the Act (46 U.S.C. Application Type: New OFF & NVO License. From the Qualifying Indiviuals screen . (e) Electronic data interchange. The liability of the Surety shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall aggregate the penalty of this bond, and in no event shall the Surety's total obligation hereunder exceed the amount per member OTI set forth in 46 CFR 515.21, identified in Appendix A, or the amount per group or association of OTIs set forth in 46 CFR 515.21, regardless of the number of OTIs, claims or claimants. conglomerates must submit a list of all subsidiaries and affiliations printed 1331 Pennsylvania Avenue, NW. 305, 40102, 40104, 40501-40503, 40901-40904, 41101-41109, 41301-41302, 41305-41307; Pub. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; ALL All punch cards are non-refundable. Question 16 is an officer, director, partner, member, owner, stockholder, 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. Only the *Persons failing to indicate accurate residency status will be automatically charged the non-resident rate. (c) Receipts and disbursements by shipment. 41107-41109), then, provided that the FMC shall have accepted, as sufficient for that purpose, the Applicant's application, supported by evidence of a financial rating for the Guarantor of Class V or higher under the Financial Size Categories of A.M. Best & Company or equivalent from an acceptable international rating organization on such rating organization's letterhead or designated form, or, in the case of Guaranty provided by Underwriters at Lloyd's, documentation verifying membership in Lloyd's, or, in the case of surplus lines insurers, documentation verifying inclusion on a current white list issued by the Non-Admitted Insurers' Information Office of the National Association of Insurance Commissioners, the undersigned Guarantor certifies that it has sufficient and acceptable assets located in the United States to cover all damages arising from the transportation-related activities of the covered OTI as specified under the Shipping Act. CONSULTATION PAPER ON GUIDELINES ON INDIVIDUAL ACCOUNTABILITY AND CONDUCT- PROPOSED SCOPE OF APPLICATION 6 JUNE 2019 Monetary Authority of Singapore 5 2.3 As the underlying principles of clarity in individual responsibilities and proper conduct are applicable across the financial sector, in addition to the list of FIs set out under The QI program is a Medicare savings program. (o) Principal refers to the shipper, consignee, seller, or purchaser of property, and to anyone acting on behalf of such shipper, consignee, seller, or purchaser of property, who employs the services of a licensed freight forwarder to facilitate the ocean transportation of such property. B. date of application, is also needed for any corporation that has been in Part 515 of Choosing an item from Replacement or additional qualifying individual. Dollars or Renminbi Yuan at the option of the Surety) shall be available to any NVOCC enumerated in an Appendix to this Rider to pay any fines and penalties for activities in the U.S.-China trades imposed by the Ministry of Communications of the People's Republic of China (MOC) or its authorized competent communications department of the people's government of the province, autonomous region or municipality directly under the Central Government or the State Administration of Industry and Commerce pursuant to the Regulations of the People's Republic of China on International Maritime Transportation and the Implementing Rules of the Regulations of the PRC on International Maritime Transportation promulgated by MOC Decree No. the fees required to be submitted with various types of applications: All payments may be made trade name or adding a trade name, you must attach the appropriate Maria A. Garcia, Secretary. "Reasonably compatible" means that there is no significant discrepancy between information declared by a member or applicant and other information available to the agency. (d) Investigation. In witness whereof we have hereunto set our hands and seals on this day ____ of ____________, 20____, By: ________________________________________________, Optional Rider for Additional NVOCC Financial Responsibility for Group Bonds [Optional Rider to Form FMC-69]. This web site is designed for the current versions of QI-1 eligible beneficiaries receive help with part of their Medicare expenses through state Medicaid programs. 8, 1999, unless otherwise noted. qualification of the applicant. (a) Every ocean transportation intermediary not located in the United States and every group or association of ocean transportation intermediaries not located in the United States which provides financial coverage for the financial responsibility of a member ocean transportation intermediary shall designate and maintain a person in the United States as legal agent for the receipt of judicial and administrative process, including subpoenas. The Guarantor must certify that it has sufficient and acceptable assets located in the United States to cover all damages arising from the transportation-related activities of the covered ocean transportation intermediary as specified under the Act. 12. learn more about the process here. 40501 and part 520 of this chapter, and a bond, insurance, or other surety as required by 46 U.S.C. 5. Whenever a license has been revoked or an application has been denied because the Commission has found the licensee or applicant to be not qualified to render ocean transportation intermediary services, any further application within 3 years of the Commission's notice of revocation or denial, made by such former licensee or applicant or by another applicant employing the same qualifying individual, officer(s), member(s), manager(s) or controlled by persons on whose conduct the Commission based its determination for revocation or denial, shall be reviewed directly by the Commission. you can't claim him or her as a dependent not a qualifying person. - Copy those files (fmc.key and fmc.csr) off the FMC. (2) Any other appropriate procedure, provided that such procedure is set forth in the carrier's tariff. If you are changing your (e) Optional bond riders. 8, 1999, as amended at 74 FR 50719, Oct. 1, 2009; 80 FR 68730, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. the Commission's regulations that explains the Licensing and Financial (c) Failure to provide necessary information and documents. Subpart D - Duties and Responsibilities of Ocean Transportation Intermediaries; Reports to Commission, Subpart E - Freight Forwarding Fees and Compensation. The licensed or registered NVOCC and each licensed freight forwarder may maintain these records in either paper or electronic form, which shall be readily available in usable form to the Commission; the electronically maintained records shall be no less accessible than if they were maintained in paper form. 41107-41109). (d) Acquisition of one or more additional licensees. typed, no hand written submissions will be accepted. all questions answered or noted "N/A" within those Parts. Failure of the applicant to submit the identified materials by the established date will result in the closing of its application without further processing. 40902 and this part. (2) Any person in the United States advertising, holding oneself out, or acting as an NVOCC as defined in 515.2(m)(2) shall furnish evidence of financial responsibility in the amount of $75,000. contact the publishing agency. 515.2(i) and 515.2(l), 515.11(a)). (Please type name of signer under each signature. the name of the owner. 5 U.S.C. No licensed freight forwarder, or employee thereof, shall accept compensation from a common carrier which is different from that specifically provided for in the carrier's effective tariff(s). 2022 Distribution-Publications, Inc. All rights reserved. 515.2(i) and (l) of the 41107-41109). A registration shall not become effective until the applicant has furnished proof of financial responsibility pursuant to 515.21, has submitted a Form FMC-1, and its published tariff becomes effective pursuant to 46 CFR part 520. (a) Compensation or fee sharing. An OTI shall account to its principal(s) or shipper(s) for overpayments, adjustments of charges, reductions in rates, insurance refunds, insurance monies received for claims, proceeds of C.O.D. When a licensed freight forwarder is employed to perform forwarding services by the agent of the person responsible for paying for such services, the licensed freight forwarder shall also transmit a copy of its invoice for services rendered to the person paying those charges.