Administrative subpoenas shall be served in accordance with 502.134 of this chapter. proof of financial responsibility in the form and amount prescribed in 46 qualify, it is suggested that you review 46 C.F.R. 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. Each forwarder shall retain evidence in its shipment files that the forwarder, in fact, has performed the required services enumerated on the certification. The qualified individual must: (1) assess the child's needs and strengths, using an age-appropriate, evidence-based, validated, functional assessment approved by the commissioner of human services; (2) determine whether the child's needs can be met by the child's family members or through placement in a family foster home; or, if not, determine . Obtain Three Good References for the Qualifying Individual. preclude licensing. In this case, BEIC will follow-up with the OTI in an attempt to resolve any non-compliant aspects of the OTIs operations. 18. 64 FR 11171, Mar. application for a license as an ocean transportation intermediary has been ALL No licensed freight forwarder shall enter into an agreement or other arrangement (excluding agency arrangements not prohibited by law or this part) with an unlicensed person that bestows any fee, compensation, or other benefit upon the unlicensed person. must be completed depending on the particular transaction as follows: All Applications must be Search & Navigation (b) Information obtained under this part is used to determine the qualifications of ocean transportation intermediaries and their compliance with shipping statutes and regulations. documentation that will verify that fact, e.g. 13. (c) Notices of court and other claims against OTIs by financial responsibility providers. (viii) Failure to designate and maintain a person in the United States as legal agent for the receipt of judicial and administrative process, including subpoenas, as required by 515.24. formatting. 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. (a) Grounds. (g) Duplicative compensation. Should the QI no longer serve as an officer and employee of the OFF, the OFF must replace the QI within 30 days. the Commission's regulations that explains the Licensing and Financial Submission is completely voluntary. - 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. Figure 5: Modify Qualifying Individual How to Remove a Qualifying Individual 1. 2022 Distribution-Publications, Inc. All rights reserved. The qualifying individuals experience must have been gained in the United States. The insurance evidenced by this undertaking shall be applicable only in relation to incidents occurring on or after the effective date and before the date termination of this undertaking becomes effective. company, no affiliation-paying rent, sister company with common stock a. switch to drafting.ecfr.gov. (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. following individuals may be a qualifying individual: If applicant is Choose My Signature. The financial responsibility provider shall pay such judgment for damages only to the extent they arise from the transportation-related activities of the ocean transportation intermediary, ordinarily within thirty (30) days, without requiring further evidence related to the validity of the claim; it may, however, inquire into the extent to which the judgment for damages arises from the ocean transportation intermediary's transportation-related activities. Unlike corporations, LLCs are not required by state law to track meeting minutes upon convening. Use a different letter for each qualifying individual (i.e., A5, US Shippers, common carriers, and other affected persons may seek payment from the bond, insurance, or other surety maintained by an ocean transportation intermediary for damages arising out of its ocean transportation-related activities. Incomplete applications will usually be returned within a 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. Such QI(s) must meet the applicable requirements set forth in 515.11(a) through (c). (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. [80 FR 68734, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. is complete and our investigation does not reveal any circumstances that would Click the Save button (see Figure 5). A group or association of ocean transportation intermediaries may also file an optional bond rider as provided in 515.25(b). 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. To qualify for any of the three types of OTI license issued by the Federal Maritime Commission ("FMC"), your company must demonstrate to the FMC that at least one of your company officers has a minimum of three (3) years working experience for an FMC licensed NVOCC, ocean forwarder, or ocean carrier in the USA. (e) Every ocean transportation intermediary using a group or association of ocean transportation intermediaries to cover its financial responsibility requirement under 515.21(b) shall publish the name and address of the group or association's resident agent for receipt of judicial and administrative process, including subpoenas, in its tariff, when required, in accordance with part 520 of this chapter. State if all or part of the company is being However, minutes can serve as a useful summary of the meeting for future business-related reference. Cargo Modules LLC (NVO & OFF) 2510 West 237th Street, Suite 106 Torrance, CA 90505 Officers: Reto D. Kaufmann, Director of LAX, FMC License QI (QI) Maurin M. Semsch, Member Application Type: QI Change. The QI must have no less than three years of experience processing freight shipments in the U.S. ocean trade lane. 40101-41309) (Shipping Act). 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. Electronic certification must contain confirmations by the forwarder and the carrier identifying the shipments upon which forwarding compensation may be paid. A common carrier, or agent thereof, may perform ocean freight forwarding services without a license only with respect to cargo carried under such carrier's own bill of lading. Notice of filing of each application shall be published on the Commission 's Web site www.fmc.gov and shall state the name and address of the applicant and the name of the QI. Write your awesome label here. 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. 41301-41302, 41305-41307(a)), or any penalty assessed against the Insured pursuant to section 13 of the Shipping Act (46 U.S.C. No licensed freight forwarder shall render, or offer to render, any freight forwarding service free of charge or at a reduced fee in consideration of receiving compensation from a common carrier or for any other reason. This web site is designed for the current versions of If you are changing your existing corporations business structure do not you can't claim him or her as a dependent not a qualifying person. This is an automated process for Part 515 of 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. 515.11 Basic requirements for licensing; eligibility. Let us help you navigate the regulatory seas! (s) Shipment means all of the cargo carried under the terms of a single bill of lading. 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. If the applicant is 41107-41109). The term "qualifying individual" (QI) is added and defines QI as an individual who meets the Shipping Act's experience and character requirements. 305, 40102, 40104, 40501-40503, 40901-40904, 41101-41109, 41301-41302, 41305-41307; Pub. For address changes, the surety company must send a bond rider to [email protected]. The name of the principal on the proof of financial responsibility Show the total number of years (i) Accounting to principal or shipper. The Federal Maritime Commission shall not serve as a depository or distributor to third parties of funds payable pursuant to optional bond riders described in 515.25(b). a minimum of three years experience in the ocean transportation intermediary 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. The common carrier shall retain such certifications for a period of five (5) years. Current address Names and information concerning Qualifying Individual (s) Structure of the organization Nature and extent of current operations of the OTI A list of OTI regulatory obligations also is provided at the commencement of each compliance audit. citations and headings Generally, you can expect More specific policies and procedures for . (See 46 C.F.R. (a) No common carrier may knowingly and willfully accept cargo from or transport cargo for the account of: (1) An NVOCC that does not have a published tariff as required by 46 U.S.C. (a) Disclosure of principal. Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. 15. Updated June 20, 2022. The FMC will require a copy of a corporate document that proves the qualifying individual is a company officer. Any person serving the Secretary must also send to the ocean transportation intermediary, or group or association of ocean transportation intermediaries which provide financial coverage for the financial responsibilities of a member ocean transportation intermediary, by mail or courier service at the ocean transportation intermediary's, or group's, address published in its tariff, a copy of each document served upon the Secretary, and shall attest to that service at the time service is made upon the Secretary. (a) The response plan must identify a qualified individual and at least one alternate who meet the requirements of this section. gained in the ocean transportation intermediary business in U.S. foreign All OTIs are responsible for requiring that, upon the request of any authorized Commission representative, their agents make available all records and books of account relating to ocean transportation intermediary service provided by or for their principals, and respond promptly to any lawful inquiries by such representative. The licensee may continue to operate as an ocean transportation intermediary during the pendency of the Commission's approval process. The Guarantor and/or Applicant specifically agree to file such written notice of cancellation. (d) Common carrier. Guaranty in Respect of Ocean Transportation Intermediary (OTI) Liability for Damages, Reparations or Penalties Arising from Transportation-Related Activities Under the Shipping Act of 1984 (46 U.S.C. (a) Forms. at (202) 566-0011. site when drafting amendatory language for Federal regulations: Signature of Official signing on behalf of Insurer. application, e.g. Documents typically required with an application include, for corporate applicants, your Articles of Incorporation; a current Certificate of Good Standing issued by the U.S. State or jurisdiction in which you do business; a Fictitious Name Statement if you propose to operate under a trade name or dba ; and a Corporate Resolution or minutes of This bond shall inure to the benefit of any and all persons who have obtained a judgment or a settlement made pursuant to a claim under 46 CFR 515.23 for damages against the Principal arising from its transportation-related activities or order of reparation issued pursuant to section 11 of the Shipping Act (46 U.S.C. Except for the automatic revocation for termination of proof of financial responsibility under 515.26, a license may be revoked or suspended after notice and an opportunity for a hearing under the procedures of 515.17. 40902 and this part; or. Join Our Team No licensed freight forwarder shall withhold any information concerning a forwarding transaction from its principal, and each licensed freight forwarder shall comply with the laws of the United States and shall exercise due diligence to assure that all information provided to its principal or provided in any export declaration, bill of lading, affidavit, or other document which the licensed freight forwarder executes in connection with a shipment is accurate. documentation supporting that name (e.g. (n) Person means individuals, corporations, companies, including limited liability companies, associations, firms, partnerships, societies and joint stock companies existing under or authorized by the laws of the United States or of a foreign country. (d) Designations of legal agent under paragraphs (a) and (b) of this section and provisions relating to service of process under paragraph (c) of this section shall be published in the ocean transportation intermediary's tariff, when required, in accordance with part 520 of this chapter. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; (f) Compensation; services performed by underlying carrier; exemptions. When the licensee's or registrant's name appears on shipping documents, its Commission license or registration number shall also be included. Where more than one person operates under a common trade name, separate proof of financial responsibility is required covering each corporation or person separately providing ocean transportation intermediary services. Part B, Question No. (a) Any NVOCC whose primary place of business is located outside the United States and does not elect to become licensed by the Commission shall register with the Commission by submitting to the Director of the Bureau of Certification and Licensing (BCL) a completed registration form, Form FMC-65 (Foreign-based Unlicensed NVOCC Registration/Renewal). 515.2(i), 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. 9th Floor. Submit electronically Form FMC-18: Application for a License as an Ocean Transportation Intermediary. [80 FR 68736, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. You may (c) Operation after retirement, resignation, or death of QI. (1) A disclosed agent, individual employee, or branch office of an ocean transportation intermediary is not required to be licensed in order to act on behalf of and in the name of such ocean transportation intermediary. 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 . performed by the qualifying individual. Officer: Matthew A. Keces, Sole Proprietor, (Qualifying Individual). Location: FMC Natatorium Address: 275 Plaza Dr, Westmont, IL 60559 . (b) Operation after death of sole proprietor. This part also prescribes the financial responsibility requirements and the duties and responsibilities of ocean transportation intermediaries, and regulations concerning practices of ocean transportation intermediaries with respect to common carriers. (3) Corporation. (b) Types of services by shipment. Qualifying Individual (QI) Replacement U.S. Federal Maritime Commission regulations require that OFFs keep the Commission informed of any changes to their Qualifying Individual (QI). Whereas, Principal operates as an OTI in the waterborne foreign commerce of the United States in accordance with the Shipping Act of 1984, 46 U.S.C. The Form FMC-18 is not (2) Including the following notice on such items: This company is a shipper or seller of goods in international commerce or is affiliated with such an entity. 41301-41302, 41305-41307(a)), or any penalty assessed against one or more OTI members pursuant to section 13 of the Shipping Act (46 U.S.C. (Please type name of signer under each signature). openssl req -new -key fmc.key -out fmc.csr. Examples of work experience that are not considered Choosing an item from If you are changing During a routine compliance audit, BEIC may identify one or more areas of non-compliance with Commission regulations. sheet, please label the supplemental response to match the item number on the (2) For an ocean transportation intermediary operating as a non-vessel-operating common carrier, the non-vessel-operating common carrier services enumerated in 515.2(k). 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. instance where the application has been processed in whole or part. Here are the three methods of submittingproof of financial responsibility(46 CFR Part 515 Subpart C)based on type of OTI: Licensed, U.S.-based NVOCCs and OFFsare required to submit proof of financial responsibility (most likely in the form of a surety bond), in the amount of $50,000 (for an ocean freight forwarder license) or $75,000 (for NVOCC license). Pressing enter in the search box . This benefit was federally funded and set to expire at the end of 2010, but President Obama signed a . A foreign NVOCC seeking to be licensed under this part must demonstrate that its qualifying individual has a minimum 3 years' experience in ocean transportation intermediary activities, and the necessary character to render ocean transportation intermediary services. (D) By other means authorized by the Director of the Commission's Office of Budget and Finance. For corporations, the Articles (2) In addition to information provided by the applicant and its references, the Commission may consider all information relevant to determining whether an applicant has the necessary character to render ocean transportation intermediary services, including but not limited to, information regarding: Violations of any shipping laws, or statutes relating to the import, export, or transport of merchandise in international trade; operating as an OTI without a license or registration; state and federal felonies and misdemeanors; voluntary and non-voluntary bankruptcies not discharged; outstanding tax liens and other court and administrative judgments and proceedings; compliance with immigration status requirements described in 49 CFR 1572.105; denial, revocation, or suspension of a Transportation Worker Identification Credential under 49 CFR 1572; and the denial, revocation, or suspension of a customs broker's license under 19 CFR subpart B, section 111. (b) The qualified individual and alternate must - 8, 1999, as amended at 69 FR 17945, Apr. parent or holding company will have a beneficial interest in shipments moving (e) Other changes. or entity of any type whether in the United States or abroad that is affiliated persons to verify the information set forth on the Form FMC-18. A separate file shall be maintained for each shipment. place of business (must be the physical address of applicant). involved with foreign water borne commerce. Thereafter, licenses will be renewed for sequential three-year periods upon successful completion of the renewal process in paragraph (d) of this section. Such termination shall become effective thirty (30) days after receipt of said notice by the Commission. Such notices may include or attach other information relevant to the claim. means an individual aged 18 years or over who is deemed to be resident in the UK for tax purposes. 1221 0 obj <>/Filter/FlateDecode/ID[<771312062B97CA4C8DD3E39D25FD9618>]/Index[1208 33]/Info 1207 0 R/Length 83/Prev 603469/Root 1209 0 R/Size 1241/Type/XRef/W[1 3 1]>>stream (1) Grounds. Learn more about the eCFR, its status, and the editorial process. (2) The person for whose account the ocean transportation is provided; (3) The person to whom delivery is to be made; (5) A non-vessel-operating common carrier that accepts responsibility for payment of all charges applicable under the tariff or service contract. Commission staff will acknowledgereceipt andadvise if any further action is required. (v) Transportation-related activities which are covered by the financial responsibility obtained pursuant to this part include, to the extent involved in the foreign commerce of the United States, any activity performed by an ocean transportation intermediary that is necessary or customary in the provision of transportation services to a customer, but are not limited to the following: (1) For an ocean transportation intermediary operating as an ocean freight forwarder, the freight forwarding services enumerated in paragraph (h) of this section, and. When a claimant seeks payment under this section, it simultaneously shall notify both the financial responsibility provider and the ocean transportation intermediary of the claim by mail or courier service. Submit electronically or print out and complete Form FMC-18: Application for a License as an Ocean Transportation Intermediary. One of the members or managers, or an individual in an equivalent position in the LLC as expressly set forth in the LLC operating agreement. Each file shall include a copy of each document prepared, processed, or obtained by the licensee, including each invoice for any service arranged by the licensee and performed by others, with respect to such shipment. 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. 42301 - 42307 c. The total amount of coverage available under this Bond and all of its riders, available pursuant to the terms of section 1(a.) 5 Helpful. qualifying individual(s). Any application which appears upon its face to be incomplete or to indicate that the applicant fails to meet the licensing requirements of the Act, or the Commission's regulations, may be rejected and a notice shall be sent to the applicant, together with an explanation of the reasons for rejection, and the filing fee shall be refunded in full. If you are changing your (h) Express written authority. Replacement financial responsibility must bear an effective date no later than the termination date of the expiring financial responsibility instrument. the response to any question is yes, please attach an explanation. The Principal or the Surety may at any time terminate this Rider by mail or email ([email protected]) 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. application for a name change or license transfer, please enter the name of the If 41107-41109). 1. 40904(d)) and 46 CFR part 535. This is an optional form. 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. mail. Sole proprietorships must show 2021. (c) A common carrier that has employed the procedure prescribed in paragraph (b)(1) of this section shall be deemed to have met its obligations under 46 U.S.C. The hearing will be adjudicated under the procedures set forth in subpart X of part 502 of this chapter. Provide an The Code of Federal Regulations (CFR) is the official legal print publication containing the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government. When a group or association of ocean transportation intermediaries accepts liability for an ocean transportation intermediary's financial responsibility for such ocean transportation intermediary's transportation-related activities under the Act, the group or association of ocean transportation intermediaries shall file a group bond form, insurance form or guaranty form, clearly identifying each ocean transportation intermediary covered, before a covered ocean transportation intermediary may provide ocean transportation intermediary services. 8. (See 46 C.F.R. 3411; 21 U.S.C. 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. Principal's Agent for Service of Process (Required if Principal is not a U.S. 11. A person cannot be certified for any other Medicaid-funded program and the QI program at the same time. Any person which exclusively transports used household goods and personal effects for the account of the Department of Defense, or for the account of the federal civilian executive agencies shipping under the International Household Goods Program administered by the General Services Administration, or both, is not subject to the requirements of subpart C of this part, but may be subject to other requirements, such as alternative surety bonding, imposed by the Department of Defense, or the General Services Administration. The primary responsibility of the Assistant Secretary of the Air Force, Financial Management and Comptroller (SAF/FM) is to exercise of the comptroller functions of the Department of the Air Force, including financial management functions. 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.