Administrative subpoenas shall be served in accordance with 502.134 of this chapter. Clearly mark supplemental pages 1A, 2B, (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. (p) Qualifying individual (QI) means an individual who meets the experience and character requirements of section 19 of the Shipping Act (46 U.S.C. result, it may not include the most recent changes applied to the CFR. Jun. (d) Arrangements with ocean transportation intermediaries whose licenses have been revoked. 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. 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. 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. Last Updated 6/24/2013 Page 3 Note: After edits are made to Qualifying Individuals use the Undo ( ) icon to undo changes made. Navigate by entering citations or phrases A group or association of ocean transportation intermediaries may also file an optional bond rider as provided in 515.25(b). the surety bond. Part 515 of licensed. The Bureau of Enforcement, Investigation, and Compliance (BEIC) actively fosters industry compliance with theShipping Act and other statutes and regulations within the Commissions authority. these rules and regulations may result in denial, revocation or suspension of 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. 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. months lapse between the date of notification of approval of an application and (2) Partnership. U.S. Customs and Border Protection. When a common carrier's tariff provides for the payment of compensation, such compensation shall be paid on any shipment forwarded on behalf of others where the forwarder has provided a certification as prescribed in paragraph (c) of this section and the shipper has been disclosed on the bill of lading as provided for in paragraph (a) of this section. (eg: 41301-41302, 41305-41307(a)), or any penalty assessed against the Applicant pursuant to section 13 of the Shipping Act (46 U.S.C. the name of your existing company, the new name of the company should appear (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. (b) Rejection. The official, published CFR, is updated annually and available below under 1, January 20, 2003. b. If the violation is willfully and knowingly committed, in which case Please check the Submit Form FMC-18 and the required license application fee. must match exactly the legal name of the applicant including abbreviations and 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. (c) Common carriers. Length of qualifying ocean transportation . in the group's annual report. 1, January 20, 2003. For corporations, an Amended Articles of Should the QI no longer serve as an officer and employee of the OFF, the OFF must replace the QI within 30 days. <>/ExtGState<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 612 792] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> (a) Necessary qualifications. Figure 5: Modify Qualifying Individual How to Remove a Qualifying Individual 1. endobj separately licensed. (a) This part sets forth regulations providing for the licensing and registration as ocean transportation intermediaries of persons who wish to carry on the business of providing intermediary services, including the grounds and procedures for revocation and suspension of licenses and registrations. 10/2007) II . (1) If a person does not file a complaint with the Commission pursuant to section 11 of the Shipping Act (46 U.S.C. Completed application Form FMC-18 and $250.00 fee. Such amount is separate and distinct from the bond amount set forth in the first paragraph of this Bond. (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. (b) Operation after death of sole proprietor. If applicant is currently licensed as an ocean freight Search & Navigation View the most recent official publication: These links go to the official, published CFR, which is updated annually. may occur due to the change. If you work for a Federal agency, use this drafting (4) Permit any such person, directly or indirectly, to participate, through ownership or otherwise, in the control or direction of the ocean transportation intermediary business of the licensee or registrant. HSA vs. 401 (K) Both accounts let you make pre-tax contributions and grow tax-free earnings. Now, therefore, the conditions of this obligation are that the penalty amount of this bond shall be available to pay any judgment obtained or any settlement made pursuant to a claim under 46 CFR 515.23 against the OTIs enumerated in Appendix A of this bond for damages arising from any or all of the identified OTIs' transportation-related activities under the Shipping Act (46 U.S.C. For purposes of this paragraph, it is sufficient that a person seeking to serve process on an ocean transportation intermediary, or group of such intermediaries, affirm to the Commission's Secretary that: they have contacted, or attempted to contact, the designated agent to confirm whether it remained authorized to accept service of process; or, if no legal agent is designated in the tariff, that it has no knowledge of the identity of the ocean transportation intermediary's legal agent. Step 3: Appoint a qualifying individual (QI) with at least 3 years of verifiable OTI experience. 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. firm, please identify the person/firm and explain the relationship, e.g. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. 41107-41109). A registration shall become automatically ineffective for a failure of a registered NVOCC to maintain proof of financial responsibility on file with the Commission. (j) Prohibition. (d) Common carrier. (r) Registered non-vessel-operating common carrier (registered NVOCC) means an NVOCC whose primary place of business is located outside the United States and who elects not to become licensed as an NVOCC, but to register with the Commission as provided in 515.19, post a bond or other surety in the required amount, and publish a tariff as required by 46 CFR part 520. 04. documentation that will verify that fact, e.g. 41301-41302, 41305-41307(a)), and to the benefit of the Federal Maritime Commission for any penalty assessed against the Insured pursuant to section 13 of the Shipping Act (46 U.S.C. 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. Define Qualifying Individual. (d) Registrations shall be effective for a period of three (3) years. [78 FR 42887, July 18, 2013, as amended at 80 FR 68734, Nov. 5, 2015; 84 FR 62468, Nov. 15, 2019; 85 FR 9683, Feb. 20, 2020]. Holding companys identify affiliations that are The name and license or registration number of each OTI shall be permanently imprinted on the licensee's or registrant's office stationery and billing forms. The insurance must provide coverage for damages, reparations or penalties arising from any transportation-related activities under the Act of the insured ocean transportation intermediary. These rules and regulations are contained in section 19 Learn about the role of the QI in FMC licensing applications. 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. writing to the Federal Maritime Commission, Bureau of Certification and QI-1 eligible beneficiaries receive help with part of their Medicare expenses through state Medicaid programs. (b) Group financial responsibility. The acceptance or solicitation of any other shipments is expressly prohibited until a new license has been issued. Check all the boxes that APPLICATION PROCESS FOR NON-U.S.-BASED NVOCCS THAT CHOOSES TO BE . required to be listed. (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. 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. is also required for applications seeking approval of a change in business 9th Floor. (e) A tariff shall not be published and NVOCC service shall not commence until the Commission receives valid proof of financial responsibility from the registrant and a Form FMC-1 has been submitted. 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. 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. Qualifying Individual (QI) What does it take to be a Qualifying Individual (QI)? Such person shall not receive compensation from the common carrier for any services rendered in connection with such shipments. 1 0 obj Application For Replacing The Qualifying Individual -CSLB Home OnlineServices WebApplication InteractivePDFs ApplicationForReplacingTheQualifyingIndividual Application For Replacing The Qualifying Individual Easy-Fill Application IMPORTANT NOTICE REGARDING CONVICTIONS PLEASE READ CAREFULLY 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 Each applicant shall be investigated in accordance with 515.13. The qualified individual or alternate qualified individual must be available on a 24-hour basis. 515.2(i) and 515.2(l), 515.11(a)). Subpart D - Duties and Responsibilities of Ocean Transportation Intermediaries; Reports to Commission, Subpart E - Freight Forwarding Fees and Compensation. Incorporated branch offices must be applicant and complete the section C titled Name Change/License Transfer to completed. 41107-41109). application to make certain that all applicable parts have been completed and Many of our PDF forms and applications can be completed online. The effective date of this undertaking shall be ____ day of ____, ____, and shall continue in effect until discharged or terminated as herein provided. Licensed, Non-U.S.-based NVOCCsare required to submit proof of financial responsibility in the amount of $75,000. Any NVOCC as defined in 515.2(m)(2), in addition to a bond meeting the requirements of 515.21(a)(2) or (3), may obtain and file with the Commission proof of an optional bond rider, as provided in Appendix E or Appendix F of this part. For 2021 the maximum CDCC for a taxpayer with AGI of more than $183,000 is $1,600 for one qualifying individual ($8,000 x 20%) and $3,200 for two or more qualifying individuals ($16,000 x 20%). attached to the Form FMC-18. ____, issued by the Federal Maritime Commission and has performed the following services: (1) Engaged, booked, secured, reserved, or contracted directly with the carrier or its agent for space aboard a vessel or confirmed the availability of that space; and. If a question within a Part is not applicable, 41107-41109). execution. Agreement can be used. Sole proprietorships must show Check the (b) Types of services by shipment. Unlike corporations, LLCs are not required by state law to track meeting minutes upon convening. will bring you to those results. Whereas, the Insurer certifies that it has sufficient and acceptable assets located in the United States to cover all liabilities of Insured herein described, this Insurance shall inure to the benefit of any and all persons who have a bona fide claim against the Insured pursuant to 46 CFR 515.23 arising from its transportation-related activities under the Shipping Act, or order of reparation issued pursuant to section 11 of the Shipping Act (46 U.S.C. The common carrier shall retain such certifications for a period of five (5) years. (5) Change in the identity or status of the designated QI, except as described in paragraphs (b) and (c) of this section. Whereas, this Guaranty is written to ensure compliance by the Applicant with section 19 of the Shipping Act (46 U.S.C. 4. include the title of the individual signing the application and the date of (a) Grounds. (d) Special contracts. (1) Grounds. Carrier (NVOCC) licenses. Nomenclature changes to part 515 appear at 67 FR 39860, June 11, 2002, and 70 FR 7669, Feb. 15, 2005. A license will be issued after the Commission has received acceptable 8, 1999, as amended at 74 FR 50721, Oct. 1, 2009; 80 FR 68737, Nov. 5, 2015; 81 FR 4593, Jan. 27, 2016]. To qualify for any of the three types of OTI license (Large PDF) 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. The Office of the Federal Register publishes documents on behalf of Federal agencies but does not have any authority over their programs. Application Type: New OFF & NVO License. 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. Assura 2. (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. 862. This web site is designed for the current versions of 13. discretion, undertake a supplementary investigation to determine the continued (ii) Applications or registrations shall be rejected unless the applicable fee and any bank charges assessed against the Commission are received by the Commission within ten (10) business days after submission of the application or registration. 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. shipments, drafts, letters of credit, and any other sums due such principal(s) or shipper(s). 4. application for individual free miner certificate (fmc) mineral titles bc - www.mineraltitles.gov.bc.ca 5.acknowledgement the information collected on this form is collected under the authority of the mineral tenure act (r.s.b.c. (a) Licensees and registrants; names and numbers. Identify all US branch offices (3) Corporation. The complete (c) Notices of court and other claims against OTIs by financial responsibility providers. forwarder, NVOCC, etc. made within 45 days from receipt of the application, assuming the application (e) All forms and documents for establishing financial responsibility of ocean transportation intermediaries prescribed in this section shall be submitted to the Director, Bureau of Certification and Licensing, via email to bcl@fmc.gov. APPLICATIONS REQUIRE THE COMPLETION OF PARTS A AND G. Other Parts of the FMC-18 (a) Forms. 515.2(i) and (l) of the (c) Has made any materially false or misleading statement to the Commission in connection with its application; then, a notice of intent to deny the application shall be sent to the applicant stating the reason(s) why the Commission intends to deny the application. (g) Termination or suspension of registration -. 41107-41109). (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. 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. All punch cards are non-refundable. Enhanced content is provided to the user to provide additional context. Whereas, (Principal) ____ operates as a group or association of OTIs in the waterborne foreign commerce of the United States and pursuant to section 19 of the Shipping Act of 1984 (46 U.S.C. (a) Compensation or fee sharing. A license number should be provided only by those persons who are already (c) Receipts and disbursements by shipment. If you would like to comment on the current content, please use the 'Content Feedback' button below for instructions on contacting the issuing agency. LLC meeting minutes keep a written record of all consequential discussions, votes, and actions that occurred throughout a limited liability company (LLC) meeting. Identify any person The Register contains details of all mediators who hold FMCA (qualified) status, plus those who have completed approved initial training and are working towards FMCA. US The renewal date (month/day) will remain the same for subsequent renewals irrespective of the date on which the license renewal is submitted or when the renewal is accepted by the Commission, unless another renewal date is assigned by the Commission. (2) The arrangement is not an artifice for a payment or other unlawful benefit to the principal. The applicant must obtain 515.2(b). MIC Freight Brokers, Inc (OFF), 8201 NW 66th Street, #6, Miami, FL 33166. Jun. You can learn more about the process (1) Licenses. Identify the name If the applicant is What is the definition of a qualified individual? Incomplete applications will be returned without processing. When the licensee's or registrant's name appears on shipping documents, its Commission license or registration number shall also be included. 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 experience acquired in the U.S. or a foreign country with respect to shipments in the United States oceanborne foreign commerce. (1) A licensee operating as an NVOCC and a freight forwarder, or a person related thereto, may collect compensation when, and only when, the following certification is made together with the certification required under paragraph (c) of this section: The undersigned certifies that neither it nor any related person has issued a bill of lading or otherwise undertaken common carrier responsibility as a non-vessel-operating common carrier for the ocean transportation of the shipment covered by this bill of lading. 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. Thereafter, licenses will be renewed for sequential three-year periods upon successful completion of the renewal process in paragraph (d) of this section. The Surety shall indicate that $50,000 is available to pay such fines and penalties for each NVOCC listed on appendix A to this Rider wishing to exercise this option. (d) The length and nature of the qualifying individual's experience in handling ocean transportation intermediary duties. 1998 and the Coast Guard Authorization Act of 1998, and 46 C.F.R. A qualifying individual must have at least three years of demonstrable OTI experience and, depending on the applicants business structure, be an officer of the applicants corporation, the sole proprietor of a sole proprietorship, the manager or member in (respectively) a manager-managed or member-managed LLC, or a partner in a partnership.