(d) Investigation. Whereas, the Insured is or may become an OTI subject to the Shipping Act and the rules and regulations of the Federal Maritime Commission, or is or may become a group or association of OTIs, and desires to establish financial responsibility in accordance with section 19 of the Shipping Act (46 U.S.C. Displaying title 46, up to date as of 3/02/2023. 40901-40904). 515.91 OMB control number assigned pursuant to the Paperwork Reduction Act. (s) Shipment means all of the cargo carried under the terms of a single bill of lading. 515.26 Termination of financial responsibility. c. The total amount of coverage available under this Bond and all of its riders, available pursuant to the terms of section 1(a.) A license number should be provided only by those persons who are already If the applicant is an Upon receipt of notice of termination of such financial responsibility, the Commission shall notify the concerned licensee, registrant, or registrant's legal agent in the United States, by email, mail, courier, or other method reasonably calculated to provide actual notice, at its last known email address or address, that the Commission shall, without hearing or other proceeding, revoke the license or terminate the registration as of the termination date of the financial responsibility instrument, unless the licensee or registrant shall have submitted valid replacement proof of financial responsibility before such termination date. Choosing an item from 862. The completed questionnaire and any supporting documents must be returned within 30 days. (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. surrendered, must complete Question No. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. applicable Parts completed. The Commissions Ocean Transportation Intermediary (OTI) Compliance Program is conducted primarily by written correspondence and directly engages the OTIs management in a quick, high-level review of the OTIs bonding level, tariff, and current operating status to determine whether additional actions are needed to comply with Commission requirements. "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? 49 CFR 172.101 of Page 10 pertaining to the distribution or possession of a controlled It is important that a current email address is maintained on file with the Commission. 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. Replacement financial responsibility must bear an effective date no later than the termination date of the expiring financial responsibility instrument. Whereas ____ (Name of Applicant [indicate whether NVOCC or Freight Forwarder]) (hereinafter Applicant) is or may become an Ocean Transportation Intermediary (OTI) subject to the Shipping Act of 1984 (46 U.S.C. (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). Helpful Hints 1. Check the boxes that apply. The FMC will require a copy of a corporate document that proves the qualifying individual is a company officer. (2) An OFF that does not have a bond, insurance, or other surety as required by 46 U.S.C. 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. BEIC then works with the OTI, its tariff publisher, and bonding company, as necessary, to assist the OTI in bringing its operations into compliance. 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. Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. These rules and regulations are contained in section 19 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 . A6, A7, B5, B6, B7, etc). (c) Use of license or registration by others; prohibition. 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. (a) Licensees and registrants; names and numbers. Following is a list of (g) Duplicative compensation. Thereafter, licenses will be renewed for sequential three-year periods upon successful completion of the renewal process in paragraph (d) of this section. (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. What is the definition of a qualified individual? Choose My Signature. Such notices may include or attach other information relevant to the claim. 401 (k) vs. HSA. The complete Only the documentation (e.g. Check the boxes that apply. 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 . 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. office is to be listed in Part F. Branch offices outside the US are not hb```^!b`f`sL``p`Hadw5Sl;`}5A55itFN)as_,;#n (3) Any registered NVOCC, as defined in 515.2(r), shall furnish evidence of financial responsibility in the amount of $150,000. consider the application to be void. individual. 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. For LLPs and LLCs, an Amended Partner Membership Check the 515.18 Application after revocation or denial. OTI cooperation during the audit is key to achieve prompt completion of the audit and any corrective actions. proof of legal name) and include the proper fee. Fill in, print and save an online form. All application forms (FMC-18) are now filed electronically. %PDF-1.5 (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. supplemental pages. 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. A document supporting the legal business name 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 The liability of the Insurer shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall aggregate the penalty of the Insurance in the amount per member OTI set forth in 46 CFR 515.21, or the amount per group or association of OTIs set forth in 46 CFR 515.21, regardless of the financial responsibility or lack thereof, or the solvency or bankruptcy, of Insured. 7. 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. Whereas, the Insurance is written to assure compliance by the Insured with section 19 of the Shipping Act (46 U.S.C. of Certification and Licensing, 800 North Capitol Street N.W., Washington, D.C. If applicant is currently licensed as an ocean freight No license or registration shall remain in effect unless valid proof of a financial responsibility instrument is maintained on file with the Commission. In the event of deletions to Appendix A, termination of coverage for such OTI(s) shall become effective 30 days after receipt of written notice by the Commission. 41107-41109). 10. No fee shall be charged for reporting such changes. [80 FR 68736, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. (6) The coverage provided by the group or association of ocean transportation intermediaries on behalf of its members shall be provided by: (i) in the case of a surety bond, a surety company found acceptable to the Secretary of the Treasury and issued by such a surety company on Form FMC-69; and. (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. 515.14 Issuance, renewal, and use of license. (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. From the Qualifying Indiviuals screen . Pressing enter in the search box Individuals listed as a Qualifying Individual on the Company (MU1) Form filing must have an individual NMLS account and will be required to complete A licensed freight forwarder may not receive compensation from a common carrier with respect to any shipment in which the forwarder has a beneficial interest or with respect to any shipment in which any holding company, subsidiary, affiliate, officer, director, agent, or executive of such forwarder has a beneficial interest. This person is called the FMC Qualifying Individual or "QI". 8, 1999, as amended at 74 FR 50721, Oct. 1, 2009; 80 FR 68737, Nov. 5, 2015; 81 FR 4593, Jan. 27, 2016]. This bond is effective the ____, day of ____,____ and shall continue in effect until discharged or terminated as herein provided. 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. 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). (1) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological, musculoskeletal, special sense organs, respiratory including speech organs, cardio-vascular, reproductive, digestive, genito-urinary, hemic and lymphatic, skin, and endocrine; or formatting. 41301-41302, 41305-41307(a)), or any penalty assessed pursuant to section 13 of the Shipping Act (46 U.S.C. Qualifying Individual (QI) This article has moved to our new Knowledge Center home. The applicant must obtain Prior to the date it commences furnishing ocean transportation intermediary services, every ocean transportation intermediary shall establish its financial responsibility for the purpose of this part by one of the following methods: (a) Surety bond, by filing with the Commission a valid bond on Form FMC-48. current business activities, e.g. The Qualifying Individuals (QIs) program is an extension of QMB. 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. application for a name change or license transfer, please enter the name of the documentation supporting that name (e.g. 41301-41302, 41305-41307(a)), or any penalty assessed against the Applicant pursuant to section 13 of the Shipping Act (46 U.S.C. 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. Foreign-based Unlicensed NVOCC Registration/Renewal Form FMC-65 and financial responsibility Forms FMC-48, FMC-67, FMC-68, FMC-69 may be obtained from the Commission's website at www.fmc.gov, from the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, or from any of the Commission's Area Representatives. (i) Compensation; beneficial interest. Use a different letter for each qualifying individual (i.e., A5, Jun. FEDERAL MARITIME COMMISSION . Bonds of Qualifying Individual costs between $69 and $390 depending on the personal credit, license history and classification of the qualifier. - Complete the ISE configuration and test. 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. 515.2(i) and (l) of the 1998 and the Coast Guard Authorization Act of 1998, and 46 C.F.R. Identify all US branch offices (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. Whenever a license has been revoked or an application has been denied because the Commission has found the licensee or applicant to be not qualified to render ocean transportation intermediary services, any further application within 3 years of the Commission's notice of revocation or denial, made by such former licensee or applicant or by another applicant employing the same qualifying individual, officer(s), member(s), manager(s) or controlled by persons on whose conduct the Commission based its determination for revocation or denial, shall be reviewed directly by the Commission. 41107-41109). If you have questions or comments regarding a published document please There is no fee for filing changes to pending 515.21 of the Commission's ocean transportation intermediary Sole proprietors should also complete the Certification at the top For corporations, the Articles . 2. is available with paragraph structure matching the official CFR (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. (2) Registrations. Everest Transportation Systems, LLC . 515.19 Registration of foreign-based unlicensed NVOCC. 8, 1999, as amended at 74 FR 50719, Oct. 1, 2009; 80 FR 68730, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. (Name of Agent) ____ domiciled in the United States, with offices located in the United States, at ____ is hereby designated as the Insurer's agent for service of process for the purposes of enforcing the Insurance certified to herein. Electronic certification must contain confirmations by the forwarder and the carrier identifying the shipments upon which forwarding compensation may be paid. An applicant may request a hearing on the proposed denial by submitting to the Secretary, Federal Maritime Commission, Washington, DC 20573, within twenty (20) days of the date of the notice, a statement of reasons why the application should not be denied. Jeannie Knudson. (e) False or fraudulent claims, false information. Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. 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. Comments or questions about document content can not be answered by OFR staff. 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. indicate old name or transferor. Examples of work experience that are not considered 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%). Each group or association of ocean transportation intermediaries or its financial responsibility provider shall notify the Commission within 30 days of any changes to its list; (3) The group or association shall provide the Commission with a sample copy of each type of existing financial responsibility coverage used by member ocean transportation intermediaries; (4) Each group or association of ocean transportation intermediaries shall be responsible for ensuring that each member's financial responsibility coverage allows for claims to be made in the United States against the Surety, Insurer or Guarantor for any judgment for damages against the ocean transportation intermediary arising from its transportation-related activities under the Act, or order for reparations issued pursuant to section 11 of the Act (46 U.S.C. 7. The Surety consents to be sued directly in respect of any bona fide claim owed by Principal for damages, reparations or penalties arising from the transportation-related activities under the Shipping Act of Principal in the event that such legal liability has not been discharged by the Principal or Surety after a claimant has obtained a final judgment (after appeal, if any) against the Principal 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 Principal and/or Surety pursuant to 46 CFR 515.23, whereby, upon payment of the agreed sum, the Surety is to be fully, irrevocably and unconditionally discharged from all further liability to such claimant; provided, however, that Surety's total obligation hereunder shall not exceed the amount set forth in 46 CFR 515.21, as applicable.

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