Included with BEICs letter is a multi-page questionnaire that requests specific information on matters such as: A list ofOTI regulatory obligationsalso is provided at the commencement of each compliance audit. 6. Show the employment history of In the event a licensee acquires one or more additional licensees, for the purpose of merger, consolidation, or control, the acquiring licensee shall advise the Commission of such acquisition, including any change in ownership, within 30 days after such change occurs by submitting an amended Form FMC-18. OTI experience obtained outside the US .) The Principal or the Surety may at any time terminate this Rider by mail or email (bcl@fmc.gov) written notice to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, accompanied by proof of transmission of notice to MOC. If more than one insurer joins in executing this document, that action constitutes joint and several liability on the part of the insurers. SAF/FM Sub-Organizations. The Applicant or Guarantor 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 under the Guaranty. The Office of the Federal Register publishes documents on behalf of Federal agencies but does not have any authority over their programs. Last Updated 6/24/2013 Page 3 Note: After edits are made to Qualifying Individuals use the Undo ( ) icon to undo changes made. <> Application Type: New OFF License. The Insured or the Insurer may at any time terminate the Insurance by mail or email (bcl@fmc.gov) written notice to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. Maria A. Garcia, Secretary. (For license transfers, the information will be that of the However, minutes can serve as a useful summary of the meeting for future business-related reference. B. Based on BEIC audits results for the most recent period (January June, 2017), the most common issues encountered during the course of an OTI compliance audit are: Competition and Integrity for Americas Ocean Supply Chain, Ocean Shipping Reform Act of 2022 (OSRA) Implementation, Foreign NVOCC Registration Status Changes, Consumer Affairs & Dispute Resolution Services, Apply for or make changes to a License or Request a Foreign Registration, Historical Federal Maritime Commission Reports, Vessel-Operating Common Carrier (VOCC) Audit Program, Shipping Act and other statutes and regulations within the Commissions authority, Names and information concerning Qualifying Individual(s), Nature and extent of current operations of the OTI, Failure to update Non-Vessel-Operating Common Carrier (NVOCC) rates or maintaining a tariff that contains one rate applicable to Cargo NOS. [80 FR 68732, Nov. 5, 2015, as amended at 84 FR 62467, Nov. 15, 2019]. MSPs are federal programs that are administered by Medicaid in each state. (c) Information provided to the principal. Assura 13. The licensee may continue to operate as an ocean transportation intermediary during the pendency of the Commission's approval process. (ii) Only with respect to those commodities. write "N/A". (202) 523-5843 before filing your application. If you work for a Federal agency, use this drafting here. b`Y0}/yfD55J{\M:yCLl`(gY<3! G3r8y4(# yKoKjQ8q)J`i[r#@ (c) Failure to provide necessary information and documents. U.S. Customs and Border Protection. The complete A licensed freight forwarder may place an employee or employees on the premises of its principal as part of the services rendered to such principal, provided: (1) The in-plant forwarder arrangement is reduced to writing and identifies all services provided by either party (whether or not constituting a freight forwarding service); states the amount of compensation to be received by either party for such services; sets forth all details concerning the procurement, maintenance or sharing of office facilities, personnel, furnishings, equipment and supplies; describes all powers of supervision or oversight of the licensee's employee(s) to be exercised by the principal; and details all procedures for the administration or management of in-plant arrangements between the parties; and. The Principal or the Surety may at any time terminate this bond by mail or email (bcl@.fmc.gov) written notice to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. Duties and Responsibilities of Ocean Transportation Intermediaries; Reports to Commission. If you are changing your 8, 1999, as amended at 78 FR 42888, July 18, 2013], (a) Filing of proof of financial responsibility -. Every NVOCC must employee at least one company officer as a Qualifying Individual (QI) for FMC licensing purposes. In no event shall the Surety's obligation under this Rider exceed the amount set forth in section 1a regardless of the number of claims. 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. place of business (must be the physical address of applicant). Application Type: New OFF & NVO License. 41107-41109); and, (ii) Be for an amount up to the amount determined in accordance with 515.21(b), taking into account a member's individual financial responsibility coverage already in place. These recordkeeping requirements are independent of the retention requirements of other federal agencies. The Insurer 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 the Insurance. include the title of the individual signing the application and the date of Everest Transportation Systems, LLC . Otherwise, the action regarding the license will become effective. Jun. 6, 2004; 80 FR 68735, Nov. 5, 2015; 85 FR 9683, Feb. 20, 2020]. [64 FR 11171, Mar. If you have comments or suggestions on how to improve the www.ecfr.gov website or have questions about using www.ecfr.gov, please choose the 'Website Feedback' button below. OMB control number assigned pursuant to the Paperwork Reduction Act. 3 0 obj This contact form is only for website help or website suggestions. (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. This Fill in, print and save an online form. involved with foreign water borne commerce. 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. A common carrier shall not pay compensation for the services described in paragraph (c) of this section more than once on the same shipment. Title 46 was last amended 2/27/2023. (See 46 C.F.R. (1) Grounds. 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. (c) Operation after retirement, resignation, or death of QI. The FMC will require a copy of a corporate document that proves the qualifying individual is a company officer. Choosing an item from For corporations, an Amended Articles of A registration shall become automatically ineffective for a failure of a registered NVOCC to maintain proof of financial responsibility on file with the Commission. if this is an application for a license transfer, this question must be [64 FR 11171, Mar. Incorporated branch offices must be 13. This document is available in the following developer friendly formats: Information and documentation can be found in our The certification shall read as follows: The undersigned hereby certifies that neither it nor any holding company, subsidiary, affiliate, officer, director, agent or executive of the undersigned has a beneficial interest in this shipment; that it is the holder of valid FMC License No. Contact your local broker Management Officer or the Broker Management Branch for inquiries on the change of address to: Broker Management Branch. (See 46 C.F.R. Such notices may include or attach other information relevant to the claim. Copies of these documents may be obtained from the FMCs Bureau of proper license may be subject to civil penalties not to exceed $6,000 for each A California Bond of Qualifying Individual will serve as a legal promise regarding the compliance of the applicant to the relevant provisions of the California Business and Professions Code and the rules and regulations set forth by the California Contractors State License Board of the Department of Consumer Affairs. (c) Affiliates of intermediaries. This includes a non-resident who performs duties which by virtue of Section 28 of the Income Tax (Earnings & Pensions) Act 2003 are treated as being performed in the UK (Crown employees serving overseas) or is married to, or is in a civil partnership with a person . in the United States commerce as defined in 46 C.F.R. 2 The term "qualifying child" is covered in Tab C, Dependents. It should be noted that fees will not be returned in any Decide on what kind of signature to create. A licensed freight forwarder may own, operate, or otherwise maintain or supervise an electronic data interchange-based computer system in its forwarding business; however, the forwarder must directly perform value-added services as described in paragraph (c) of this section in order to be entitled to carrier compensation. (b) For purposes of this part, a person is considered to be in the United States if such person is resident in, or incorporated or established under, the laws of the United States. the Commission's regulations that explains the Licensing and Financial Submit Form FMC-18 and the required license application fee. have any questions, please call BCL, Office of Transportation Intermediaries at QI-1 eligible beneficiaries receive help with part of their Medicare expenses through state Medicaid programs. (2) Hearing procedure. also telephone BCL, Office of Transportation Intermediaries, at (202) 523-5843 (d) The length and nature of the qualifying individual's experience in handling ocean transportation intermediary duties. 40901-40904), files this bond with the Federal Maritime Commission; Whereas, this group bond is written to ensure compliance by the OTIs, enumerated in Appendix A of this bond, with section 19 of the Shipping Act (46 U.S.C. Each licensed or registered NVOCC and each licensed ocean freight forwarder shall maintain in an orderly and systematic manner, and keep current and correct, all records and books of account in connection with its OTI business. There is no fee for filing changes to pending The experts in U.S. Federal Maritime regulations since 1975. 8, 1999, as amended at 74 FR 50719, Oct. 1, 2009; 80 FR 68730, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. 41107-41109). If this is an initial application for a license, the change 41107-41109); provided, however, that the Surety's obligation for a group or association of OTIs shall extend only to such damages, reparations or penalties described herein as are not covered by another surety bond, insurance policy or guaranty held by the OTI(s) against which a claim or final judgment has been brought and that Surety's total obligation hereunder shall not exceed the amount per OTI provided for in 46 CFR 515.21 or the amount per group or association of OTIs provided for in 46 CFR 515.21 in aggregate. payable to the Federal Maritime Commission. Please do not send cash. 40101-41309) and the rules and regulations of the Federal Maritime Commission (FMC), or is or may become a group or association of OTIs, and desires to establish its financial responsibility in accordance with section 19 of the Shipping Act (46 U.S.C. used with the Ocean Freight Forwarder (OFF) and Non-Vessel-Operating Common The insurance must be placed with: (1) An Insurer having a financial rating of Class V or higher under the Financial Size Categories of A.M. Best & Company, or equivalent from an acceptable international rating organization; (3) Surplus lines insurers named on a current white list issued by the Non-Admitted Insurers' Information Office of the National Association of Insurance Commissioners; or. instance where the application has been processed in whole or part. Any person whose primary business is the sale of merchandise may, without a license, dispatch and perform freight forwarding services on behalf of its own shipments, or on behalf of shipments or consolidated shipments of a parent, subsidiary, affiliate, or associated company. (b) To whom issued. (2) An individual who is applying for a license as a sole proprietor must complete the following certification: I, ____ (Name)____, certify under penalty of perjury under the laws of the United States, that I have not been convicted, after September 1, 1989, of any Federal or state offense involving the distribution or possession of a controlled substance, or that if I have been so convicted, I am not ineligible to receive Federal benefits, either by court order or operation of law, pursuant to 21 U.S.C. (b) A common carrier can obtain proof of an NVOCC or OFF's compliance with the OTI licensing, registration, tariff and financial responsibility requirements by: (1) Consulting the Commission's website www.fmc.gov as provided in paragraph (d) of this section, to verify that the NVOCC or OFF has complied with the applicable licensing, registration, tariff, and financial responsibility requirements; or. The Faculty Multimedia Center (FMC) is a do-it-yourself . A document supporting the legal business name The application process includes detailed reporting of your company's organizational structure and management. If the response to any question is yes, please attach an 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. (a) Disclosure of principal. and title of the proposed qualifying individual for the applicant. Please do not provide confidential application. Subpart C - Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. Such investigations may address: (a) The accuracy of the information submitted in the application; (b) The integrity and financial responsibility of the applicant; (c) The character of the applicant and its qualifying individual; and. The guaranty must be placed with: (1) A Guarantor having a financial rating of Class V or higher under the Financial Size Categories of A.M. Best & Company, or equivalent from an acceptable international rating organization; (d) Evidence of financial responsibility of the type provided for in paragraphs (a), (b) and (c) of this section established through and filed with the Commission by a group or association of ocean transportation intermediaries on behalf of its members, subject to the following conditions and procedures: (1) Each group or association of ocean transportation intermediaries shall notify the Commission of its intention to participate in such a program and furnish documentation as will demonstrate its authenticity and authority to represent its members, such as articles of incorporation, bylaws, etc. If rejected, a notice, together with the reasons therefore, shall be sent to the foreign-based unlicensed NVOCC. (e) Changes in fact. or fax at (202) 566-0011. approved. 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. 5 Helpful. *Persons failing to indicate accurate residency status will be automatically charged the non-resident rate. stream Attach all supporting (i) Accounting to principal or shipper. (a) Licenses. He or she need not be a shareholder of the company, but must be an officer and a full-time employee. export shipper, steamship agent, air freight Administrative subpoenas shall be served in accordance with 502.134 of this chapter. LII Electronic Code of Federal Regulations (e-CFR) Title 46 - Shipping CHAPTER IV - FEDERAL MARITIME COMMISSION SUBCHAPTER B - REGULATIONS AFFECTING OCEAN SHIPPING IN FOREIGN COMMERCE PART 515 - LICENSING, REGISTRATION, FINANCIAL RESPONSIBILITY REQUIREMENTS AND GENERAL DUTIES FOR OCEAN TRANSPORTATION INTERMEDIARIES A6, A7, B5, B6, B7, etc). Medicare Savings Programs (MSP) help people with limited income and resources pay for some or all of their Medicare premiums and may also pay their Medicare deductibles and co-insurance. If the transferor will 3411; 21 U.S.C. (b) Operation after death of sole proprietor. (c) Duration of license. 40901-40904)) ____ [indicate whether NVOCC or Freight Forwarder], as Principal (hereinafter Principal), and ____, as Surety (hereinafter Surety) are held and firmly bound unto the United States of America in the sum of $____ for the payment of which sum we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally. qualify, it is suggested that you review 46 C.F.R. appropriate box that applies to the applicant. Examples of work experience that are not considered An official document supporting the legal name shall be openssl req -new -key fmc.key -out fmc.csr. documentation that lists all appointed officers) must be submitted with the The effective date of this undertaking shall be ____ day of ____, ____, and shall continue in effect until discharged or terminated as herein provided. Qualifying Individual (QI) - Distribution-Publications, Inc. (e) Other changes. 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. (l) Ocean common carrier means a common carrier that operates, for all or part of its common carrier service, a vessel on the high seas or the Great Lakes between a port in the United States and a port in a foreign country, except that the term does not include a common carrier engaged in ocean transportation by ferry boat, ocean tramp, or chemical parcel-tanker. - Regulations Affecting Ocean Shipping in Foreign Commerce, https://www.ecfr.gov/current/title-46/chapter-IV/subchapter-B/part-515, Licensing, Registration, Financial Responsibility Requirements and General Duties for Ocean Transportation Intermediaries, Eligibility and Procedure for Licensing and Registration. office is to be listed in Part F. Branch offices outside the US are not endstream endobj startxref If you 20. If you have questions or comments regarding a published document please Qualifying Individuals in Partnerships Between Entities: The FMC proposes adjusting the language of Section 515.11(b) regarding qualified individual (QI) requirements to clarify that an officer of a general partner entity may qualify as the QI. "Qualifying Individual-1" means a Qualified Individual who meets the Qualifying Individual-1 income and resource standards. - Copy those files (fmc.key and fmc.csr) off the FMC. c. The total amount of coverage available under this Bond and all of its riders, available pursuant to the terms of section 1(a.) fill out this section. Such registered NVOCC shall be strictly responsible for the acts and omissions of its employees and agents, wherever they are located. Proof of the position of the qualifying individual within the company, such as corporate minutes appointing that individual as an officer of the company or other official documentation demonstrating the qualifying individual's position. (f) Errors and omissions of the principal or shipper. 40902 and this part; or. Q-5000, Qualifying Individuals (QIs) Printer-friendly version. (a) Grounds. responsibility within two years of the date of approval, the Commission will a minimum of three years experience in the ocean transportation intermediary Sole proprietors should also complete the Certification at the top - Upload the signed certificate. 40904(d)) and 46 CFR part 535. 41301-41302, 41305-41307(a)), and to the benefit of the Federal Maritime Commission for any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. 8, 1999, as amended at 80 FR 68733, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. (3) Publication of Notice. No fee shall be charged for reporting such changes. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. No OTI shall permit its name, license, license number, registration, or registration number to be used by any person who is not an employee or an agent of the OTI. The completed questionnaire and any supporting documents must be returned within 30 days. 305, 40102, 40104, 40501-40503, 40901-40904, 41101-41109, 41301-41302, 41305-41307; Pub. 1998 and the Coast Guard Authorization Act of 1998, and 46 C.F.R. Charges for such forwarding services shall be assessed in conformance with the carrier's published tariffs. (2) Partnership. 515.2(i) and 515.2(l), 515.11(a)). Choosing an item from (g) Duplicative compensation. (h) Non-vessel-operating common carriers; compensation. Replacement or additional qualifying individual. The Commission shall conduct an investigation of the applicant's qualifications for a license. Track record and fund management expertise of the applicant and its parent company or major shareholders. considered a valid application unless it is signed. When the licensee's or registrant's name appears on shipping documents, its Commission license or registration number shall also be included. (d) Registrations shall be effective for a period of three (3) years. Obtain Three Good References for the Qualifying Individual. these rules and regulations may result in denial, revocation or suspension of 04. acceptable include experience gained overseas (import) as an ocean freight 41107-41109). A license is not required in the following circumstances: (a) Shippers. This is an optional form. (3) Though the foregoing license renewal process is not intended to result in a re-evaluation of a licensee's character, the Commission may review a licensee's character at any time, including at the time of renewal, based upon information received from the licensee or other sources. The effectiveness of such a registration may otherwise be terminated or suspended, after notice and the opportunity for a hearing, for any of the following reasons: (i) Violation of any provision of the Act, or any other statute or Commission order or regulation related to carrying on the business of an ocean transportation intermediary; (ii) Failure to respond to any lawful order or inquiry by the Commission or an authorized Commission representative; (iii) Making a materially false or misleading statement to the Commission in connection with a registration or renewal thereof; (iv) Failure to honor financial obligations to the Commission; (v) Failure to timely renew a registration; (vi) Failure to maintain a Form FMC-1 or a tariff in compliance with 46 CFR part 520; (vii) Knowingly and willfully accepting cargo from or transporting cargo for the account of: (A) an NVOCC that does not have a published tariff as required by 46 U.S.C. Persons who have had their applications closed under this section may reapply at any time by submitting a new application with the required filing fee. 40901-40904), and the rules and regulations of the Federal Maritime Commission relating to evidence of financial responsibility for OTIs (46 CFR part 515), this bond shall be available to pay any judgment obtained or any settlement made pursuant to a claim under 46 CFR 515.23 for damages against the Principal arising from the Principal's transportation-related activities under the Shipping Act, or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. 46 U.S.C. The Principal or the Surety may at any time terminate this Rider by mail or email (bcl@fmc.gov) written notice to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, accompanied by proof of transmission of notice to MOC. The Insurer consents to be sued directly in respect of any bona fide claim owed by Insured for damages, reparations or penalties arising from the transportation-related activities under the Shipping Act, of Insured in the event that such legal liability has not been discharged by the Insured or Insurer after a claimant has obtained a final judgment (after appeal, if any) against the Insured from a United States Federal or State Court of competent jurisdiction and has complied with the procedures for collecting on such a judgment pursuant to 46 CFR 515.23, the Federal Maritime Commission, or where all parties and claimants otherwise mutually consent, from a foreign court, or where such claimant has become entitled to payment of a specified sum by virtue of a compromise settlement agreement made with the Insured and/or Insurer pursuant to 46 CFR 515.23, whereby, upon payment of the agreed sum, the Insurer is to be fully, irrevocably and unconditionally discharged from all further liability to such claimant; provided, however, that Insurer's total obligation hereunder shall not exceed the amount per OTI set forth in 46 CFR 515.21 or the amount per group or association of OTIs set forth in 46 CFR 515.21. gained in the ocean transportation intermediary business in U.S. foreign Failure to comply with In the event an application is closed as a result of the applicant's failure to provide information or documents necessary to complete processing, the filing fee will not be returned. (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.
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