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 . 0
The notice of revocation or suspension will provide, in detail, a statement of the facts supporting the action. The Commission may also seek payment of civil penalties assessed under section 13 of the Shipping Act (46 U.S.C. Your individual or joint income and resources must meet a certain criteria to qualify. (b) Notice. This document is available in the following developer friendly formats: Information and documentation can be found in our 515.2(i) and 515.2(l), 515.11(a),. After all Parts of the application have been completed and the application has been submitted, you must submit the required. going to conduct OTI business through branch offices in the
We recommend you directly contact the agency responsible for the content in question. Check the boxes that apply. 1331 Pennsylvania Avenue, NW. 4 0 obj
*Persons failing to indicate accurate residency status will be automatically charged the non-resident rate. [64 FR 11171, Mar. If you are changing
transferred from (transferor) and identify the company which will receive the
1. Each applicant shall promptly advise the Commission of any material changes in the facts submitted in the application. or entity (other than a bank or finance company) who is providing financial
(ii) Only with respect to those commodities. Let us help you navigate the regulatory seas! 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. 40901-40904) and this part. Study with Quizlet and memorize flashcards containing terms like Type AC cable is permitted in, Listed FMC and LFMC shall contain an equipment grounding conductor if the raceway is installed for the reason of, Cable________ made and insulated by approved methods can be located within a cable tray provided they are accessible, and do not project above the side rails where the splices are . (3) An ocean transportation intermediary is fully responsible for the acts and omissions of any of its employees and agents that are performed in connection with the conduct of the ocean transportation intermediary's business. stream
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. 515.19 Registration of foreign-based unlicensed NVOCC. The Medicare . Learn about the role of the QI in FMC licensing applications. 8, 1999, as amended at 80 FR 68737, Nov. 5, 2015]. Persons operating without the
8. Everest Transportation Systems, LLC . 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.
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. The undersigned Guarantor hereby consents to be sued directly in respect of any bona fide claim owed by Applicant for damages, reparations or penalties arising from Applicant's transportation-related activities under the Shipping Act, in the event that such legal liability has not been discharged by the Applicant after any such claimant has obtained a final judgment (after appeal, if any) against the Applicant 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 FMC, 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 Applicant and/or Guarantor pursuant to 46 CFR 515.23, whereby, upon payment of the agreed sum, the Guarantor is to be fully, irrevocably and unconditionally discharged from all further liability to such claimant. 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. "The Federal Maritime Commission (FMC) is the independent federal agency responsible for regulating the U.S. international ocean transportation system for the benefit of U.S. exporters, importers, and the U.S. consumer." - FMC What does it mean for an NVOCC to have an FMC license? ownership, etc. Upon the request of any authorized representative of the Commission, an OTI shall make available promptly for inspection or reproduction all records and books of account in connection with its ocean transportation intermediary business, and shall respond promptly to any lawful inquiries by such representative. Show the employment history of
40501 and part 520 of this chapter, and a bond, insurance, or other surety as required by 46 U.S.C. Additional Qualifying Individual [ ] Replacement Qualifying Individual [ ](Name of individual being replaced: ) 11. Proof of firm's name, original and English translation. 2 0 obj
862. [80 FR 68733, Nov. 5, 2015, as amended at 84 FR 62467, Nov. 15, 2019]. A foreign-based NVOCC that elects to obtain a license must establish a presence in the United States by opening an unincorporated office that is resident in the United States and is qualified to do business where it is located. (i) From the United States means oceanborne export commerce from the United States, its territories, or possessions, to foreign countries. 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. (e) Foreign-based licensed NVOCC. If
the qualifying individual only as it relates to those jobs where experience was
(a) Compensation or fee sharing. No OTI shall prepare or file or assist in the preparation or filing of any claim, affidavit, letter of indemnity, or other paper or document concerning an ocean transportation intermediary transaction which it has reason to believe is false or fraudulent, nor shall any such OTI knowingly impart to a principal, shipper, common carrier or other person, false information relative to any ocean transportation intermediary transaction. (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. Identify all US branch offices
no longer operate as a business provide dissolution papers. (d) Registrations shall be effective for a period of three (3) years. documentation that lists all appointed officers) must be submitted with the
application for a name change or license transfer, please enter the name of the
Incorporation is needed. Indicate all entities of any type whether in the United
members of large organization or are affiliated with international
4. - Download the Root Cert and Intermediate Root (if you have one) - Upload the Root + Int Root to FMC. (c) Common trade name. (g) Response to requests of Commission. The Commission shall publish on the Commission's Web site www.fmc.gov notice of each revocation and suspension. 3. Application Type: New OFF License. The total amount of aggregate coverage equals or exceeds $125,000. The Commission has received OMB approval for this collection of information pursuant to the Paperwork Reduction Act of 1995, as amended. (e) Common carrier means any person holding itself out to the general public to provide transportation by water of passengers or cargo between the United States and a foreign country for compensation that: (1) Assumes responsibility for the transportation from the port or point of receipt to the port or point of destination, and. The undersigned ____, as Principal and ____, as Surety do hereby agree that the existing Bond No. Upon notification by the Commission that an applicant has been conditionally approved for licensing, the applicant shall file with the Director of the Commission's Bureau of Certification and Licensing, proof of financial responsibility in the form and amount prescribed in 515.21. The experts in U.S. Federal Maritime regulations since 1975. The qualifying individual must have a minimum of three years experience in the ocean transportation intermediary business in the United States in order to be approved. The Office of the Federal Register publishes documents on behalf of Federal agencies but does not have any authority over their programs. 8, 1999, unless otherwise noted. write "N/A". (ii) in the case of insurance and guaranty, a firm 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, Underwriters at Lloyd's, or surplus line insurers named on a current white list issued by the Non-Admitted Insurers' Information Office of the National Association of Insurance Commissioners and issued by such firms on Form FMC-67 and Form FMC-68, respectively. (1) The licensee shall submit the renewal electronically to the Director of the Bureau of Certification and Licensing (BCL) no later than the renewal date as published on the Commission website. responsibility within two years of the date of approval, the Commission will
(2) Fees under this part shall be as follows: (i) Application for new OTI license as required by 515.12(a): Filing $250. PRIVACY ACT AND PAPERWORK REDUCTION ACT NOTICE . Appendix A to Part 515 - Ocean Transportation Intermediary (OTI) Bond Form [Form 48], Appendix B to Part 515 - Ocean Transportation Intermediary (OTI) Insurance Form [Form 67], Appendix C to Part 515 - Ocean Transportation Intermediary (OTI) Guaranty Form [Form 68], Appendix D to Part 515 - Ocean Transportation Intermediary (OTI) Group Bond Form [FMC-69], Appendix E to Part 515 - Optional Rider for Additional NVOCC Financial Responsibility (Optional Rider to Form FMC-48) [FORM 48A], Appendix F to Part 515 - Optional Rider for Additional NVOCC Financial Responsibility for Group Bonds [Optional Rider to Form FMC-69]. (f) Compensation means payment by a common carrier to a freight forwarder for the performance of services as specified in 515.2(h). (5) Failure to honor the licensee's financial obligations to the Commission. In the event of a claim against a group bond, the bond must be replenished up to the original amount of coverage within 30 days of payment of the claim; and, (iii) be in excess of a member's individual financial responsibility coverage already in place; and. (a) The response plan must identify a qualified individual and at least one alternate who meet the requirements of this section. persons to verify the information set forth on the Form FMC-18. 40101-41309. 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). If additional space is
SAF/FM is composed of four directorates, or "3-Letter" organizations, each . (g) Freight forwarding fee means charges billed by an ocean freight forwarder to a shipper, consignee, seller, purchaser, or any agent thereof, for the performance of freight forwarding services. Identify any person
Each receipt for cargo issued by a licensed freight forwarder shall be clearly identified as Receipt for Cargo and be readily distinguishable from a bill of lading. Individuals listed as a Qualifying Individual on the Company (MU1) Form filing must have an individual NMLS account and will be required to complete Now, Therefore, The condition of this obligation is that the penalty amount of this bond shall be available to pay any judgment 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 or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. 16. 8, 1999, as amended at 80 FR 68734, Nov. 5, 2015]. have any questions, please call BCL, Office of Transportation Intermediaries at
gained in the ocean transportation intermediary business in U.S. foreign
Mail or courier the
The common carrier shall be entitled to rely on such certification unless it knows that the certification is incorrect. Form FMC-65 must be filed by a non-U.S.-based-registered NVOCC if any information reported on the original Form FMC-65 has changed. Otherwise, the action regarding the license will become effective. Each group or association of ocean transportation intermediaries shall be responsible for requiring each member ocean transportation intermediary to provide it with valid proof of financial responsibility annually; (5) Where the group or association of ocean transportation intermediaries determines to secure on behalf of its members other forms of financial responsibility, as specified by this section, for damages, reparations or penalties not covered by a member's individual financial responsibility coverage, such additional coverage must: (i) Allow claims to be made in the United States directly against the group or association's Surety, Insurer or Guarantor for damages against each covered member ocean transportation intermediary arising from each covered member ocean transportation intermediary's transportation-related activities under the Act, or order for reparations issued pursuant to section 11 of the Act (46 U.S.C. Fill in, print and save an online form. Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. Registrants may request a hearing for terminations or suspensions of the effectiveness of their registrations following the same procedures set forth in 515.17 (governing hearing requests for denials, revocations and suspensions of licenses). Bonds of Qualifying Individual costs between $69 and $390 depending on the personal credit, license history and classification of the qualifier. [80 FR 68736, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. seeks a change in business structure, license transfer, or name change. 1, January 20, 2003. (a) Except as otherwise provided in this part, no person in the United States may advertise, hold oneself out, or act as an ocean transportation intermediary unless that person holds a valid license issued by the Commission. (d) Invoices; documents available upon request. 40901-40904), and the rules and regulations of the Federal Maritime Commission relating to evidence of financial responsibility for OTIs, this Insurance 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 Insured arising from the Insured'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. 12. From the Qualifying Individuals screen, click the Edit icon. 8.Second Qualifying Individual (Optional) The company has the option to qualify a second individual. . Join Our Team If you need additional space, enter the information on
(s) Shipment means all of the cargo carried under the terms of a single bill of lading. electing the qualifying individual or the partnership agreement. (m) Ocean transportation intermediary (OTI) means an ocean freight forwarder or a non-vessel-operating common carrier. The QI program is a Medicare savings program. All hearing requests under 515.15 and 515.16 shall be submitted to the Commission's Secretary. 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. The required certification may be provided electronically by the forwarder or may be placed on one copy of the relevant bill of lading, a summary statement from the forwarder, the forwarder's compensation invoice, or as an endorsement on the carrier's compensation check. 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. (c) Failure to provide necessary information and documents. There are three variants; a typed, drawn or uploaded signature. forwarder or an NVOCC, please include your license and bond numbers. The FMC will require a copy of a corporate document that proves the qualifying individual is a company officer. V6Z 2G3 If your application and fees are accepted, you will be issued an FMC and client number. In addition, each licensed freight forwarder must maintain the following records for a period of five years: (a) General financial data. Jeannie Knudson. proof of financial responsibility in the form and amount prescribed in 46
For corporations, the Articles
considered a valid application unless it is signed. If you have questions or are unsure, please give us a call at 630-537-1188. The licensee may continue to operate as an ocean transportation intermediary while the Commission investigates the qualifications of the newly designated partner, member, manager, or officer. This content is from the eCFR and may include recent changes applied to the CFR. The qualified individual or alternate qualified individual must be available on a 24-hour basis. the fees required to be submitted with various types of applications: All payments may be made
For example, if a reference does not confirm the qualifying individual's experience to the FMC's satisfaction, a replacement reference can be used. 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. The licensee may request a hearing on the proposed revocation or suspension by submitting to the Commission's Secretary, within twenty (20) days of the date of the notice, a statement of reasons why the license should not be revoked or suspended. Organization and Purpose 8, 1999, as amended at 78 FR 42888, July 18, 2013], (a) Filing of proof of financial responsibility -. Write your awesome label here. Guarantor shall pay, subject to the limit of the amount per OTI set forth in 46 CFR 515.21, directly to a claimant any sum or sums which Guarantor, in good faith, determines that the Applicant has failed to pay and would be held legally liable by reason of Applicant's transportation-related activities, or its legal responsibilities under the Shipping Act and the rules and regulations of the FMC, made by Applicant while this agreement is in effect, regardless of the financial responsibility or lack thereof, or the solvency or bankruptcy, of Applicant. States or abroad. 515.26 Termination of financial responsibility. %PDF-1.6
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515.18 Application after revocation or denial. etc. These rules and regulations are contained in section 19
Check all the boxes that
The initial renewal of an OTI license can take place no sooner than one-year and no later than four-years from issuance. [64 FR 11171, Mar. If the Commission denies the application, such denial is final and not subject to the hearing procedures described in 515.15 and 515.17. 40902 and this part; or, (B) an OFF that does not have a bond, insurance, or other surety as required by 46 U.S.C. Licensing, Registration and/or Proof of Financial Responsibility, Competition and Integrity for Americas Ocean Supply Chain, Apply for or make changes to a License or Request a Foreign Registration, Ocean Shipping Reform Act of 2022 (OSRA) Implementation, Foreign NVOCC Registration Status Changes, Consumer Affairs & Dispute Resolution Services, Historical Federal Maritime Commission Reports, Vessel-Operating Common Carrier (VOCC) Audit Program. The qualifying individual of one active licensee shall not also be designated as the qualifying individual of an applicant for another ocean transportation intermediary license, unless both entities are commonly owned or where one directly controls the other. Whereas, this Guaranty is written to ensure compliance by the Applicant with section 19 of the Shipping Act (46 U.S.C. Please do not provide confidential However, the bond shall not apply to shipments of used household goods and personal effects for the account of the Department of Defense or the account of federal civilian executive agencies shipping under the International Household Goods Program administered by the General Services Administration. Within the same 30-day period, the licensee shall furnish to the Commission the name(s) and detailed intermediary experience of any other active partner(s), member(s), manager(s) or officer(s) who may qualify the licensee. 2. (2) Whenever a person acts in the capacity of an NVOCC as to any shipment, such person shall not collect compensation, nor shall any underlying ocean common carrier pay compensation to such person, for such shipment. (1) As provided in each financial responsibility instrument between an OTI and its financial responsibility provider(s), the issuing financial responsibility provider shall submit a notice to the Commission of each claim, court action, or court judgment against the financial responsibility and each claim paid (including the amount) by the provider. Submit electronically Form FMC-18: Application for a License as an Ocean Transportation Intermediary. (d) Federal military and civilian household goods. (h) Non-vessel-operating common carriers; compensation. 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. When the licensee's or registrant's name appears on shipping documents, its Commission license or registration number shall also be included. . Documentation
(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. Submit electronically or print out and complete Form FMC-18: Application for a License as an Ocean Transportation Intermediary. Such registered NVOCC shall be strictly responsible for the acts and omissions of its employees and agents, wherever they are located. Position the qualifying individual holds as a corporate officer, member, or active partner: (Attach proof of position held i.e., minutes from meeting electing the officers) 12. (c) Guaranty, by filing with the Commission evidence of guaranty on Form FMC-68. (2) Utilizes, for all or part of that transportation, a vessel operating 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, chemical parcel tanker, or by a vessel when primarily engaged in the carriage of perishable agricultural commodities: (i) If the common carrier and the owner of those commodities are wholly-owned, directly or indirectly, by a person primarily engaged in the marketing and distribution of those commodities, and.
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