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. 41301-41302, 41305-41307(a)), but otherwise seeks to pursue a claim against an ocean transportation intermediary bond, insurance, or other surety for damages arising from its transportation-related activities, it shall attempt to resolve its claim with the financial responsibility provider prior to seeking payment on any judgment for damages obtained. 40101-41309)) (Shipping Act). E-Learning Home. Unlike corporations, LLCs are not required by state law to track meeting minutes upon convening. The QI must have no less than three years of experience processing freight shipments in the U.S. ocean trade lane. Learn more about the eCFR, its status, and the editorial process. an ocean transportation intermediary license. 40101-41309. 12. Only the (u) Special contract is a contract for ocean freight forwarding services which provides for a periodic lump sum fee. no longer operate as a business provide dissolution papers. Other changes in material fact of a licensee shall be reported within thirty (30) days of such changes, in writing by mail or email (bcl@fmc.gov) to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. Medicare Savings Programs (MSP) help people with limited income and resources pay for some or all of their Medicare premiums and may also pay their Medicare deductibles and co-insurance. NEC Final A Flashcards | Quizlet If you are transferring a Electronic certification must contain confirmations by the forwarder and the carrier identifying the shipments upon which forwarding compensation may be paid. application. Application Type: New OFF & NVO License. This document is available in the following developer friendly formats: Information and documentation can be found in our If this is an initial application for a license, the change Qualifying Individual (QI) This article has moved to our new Knowledge Center home. forwarder or an NVOCC, please include your license and bond numbers. 515.42 Forwarder and carrier compensation; fees. This web site is designed for the current versions of 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. Applications for a new license by the executor, administrator, heir(s), or assign(s) shall be made on Form FMC-18, and shall be accompanied by the fee required under 515.5(c). 4. No license or registration shall remain in effect unless valid proof of a financial responsibility instrument is maintained on file with the Commission. Whereas, the Insurance is written to assure compliance by the Insured with section 19 of the Shipping Act (46 U.S.C. FEDERAL MARITIME COMMISSION . Qualified positions include: Staff RN Medical Technologist Medical Lab Technician Surgical First Assist Paramedic If you or someone you know wants to make a difference every day, complete an application or contact our Human Resources team at 740-687-8017. Failure to submit this form will in no way impact the Federal Maritime Commission's assessment of your firm's financial responsibility. Incomplete applications will usually be returned within a Show the employment history of 14. stream The qualifying individuals experience must have been gained in the United States. shipments, drafts, letters of credit, and any other sums due such principal(s) or shipper(s). 8. [64 FR 11171, Mar. Federal Maritime Commission, Washington, DC 20573, within twenty (20) days of the . Apply for or make changes to a License or Request a Foreign (c) Reduced forwarding fees. legal name of the applicant must be shown in this section. 862. involved with foreign water borne commerce. (Please type name of signer under each signature). Commissions website, www.fmc.gov , or by 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. (3) Notices required by this section shall include the name of the claimant, name of the court and case number assigned, and the name and license or organization number of the OTI involved. 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. Individual Retirement Accounts (IRAS) Forms and applications needed to open a new IRA account, make changes to an existing account, or close an account. 40904(d)) and 46 CFR part 535. 1996, chap 292), and in accordance with licensed. Commission staff will acknowledgereceipt andadvise if any further action is required. 9th Floor. The collection of this information is authorized generally by Section 19 of the Shipping Act of 1984 (46 U.S.C. The QI program is a Medicare savings program. (b) Filing of license application forms. (2) An ocean transportation intermediary must report branch offices to the Commission in Form FMC-18 or under the procedures in 515.20(e). 8, 1999, as amended at 80 FR 68733, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. Each applicant shall promptly advise the Commission of any material changes in the facts submitted in the application. 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. 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. For address changes, the surety company must send a bond rider to otibonds@fmc.gov. hb```^!b`f`sL``p`Hadw5Sl;`}5A55itFN)as_,;#n branch office, this question must be answered in the affirmative (5) Change in the identity or status of the designated QI, except as described in paragraphs (b) and (c) of this section. Part 515 of You may obtain This Auditors and accredited bodies compliance requirements Qualifying individual | U.S.A. IMPORT & EXPORT LAWS 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. Licenses shall be issued for an initial period of not less than one year and not greater than four years as determined by the license number and published on the Commission website. 40101-41309) and the rules and regulations of the Federal Maritime Commission (FMC), or is or may become a group or association of OTIs, and desires to establish its financial responsibility in accordance with section 19 of the Shipping Act (46 U.S.C. The FMC does not have a formal procedure or fees for expedited processing of these applications, but timely follow-up with the FMC will help avoid delays. A license may be revoked or suspended for any of the following reasons: (1) 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; (2) Failure to respond to any lawful order or inquiry by the Commission; (3) Making a materially false or misleading statement to the Commission in connection with an application for a license or an amendment to an existing license; (4) A Commission determination that the licensee is not qualified to render intermediary services; or. 10. 41107-41109); provided, however, that the Surety's obligation for a group or association of OTIs shall extend only to such damages, reparations or penalties described herein as are not covered by another surety bond, insurance policy or guaranty held by the OTI(s) against which a claim or final judgment has been brought and that Surety's total obligation hereunder shall not exceed the amount per OTI provided for in 46 CFR 515.21 or the amount per group or association of OTIs provided for in 46 CFR 515.21 in aggregate. (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. (f) Compensation means payment by a common carrier to a freight forwarder for the performance of services as specified in 515.2(h). Qualifying Individual (QI) What does it take to be a Qualifying Individual (QI)? At least one of the active corporate officers. if this is an application for a license transfer, this question must be 515.22 Proof of financial responsibility. 41107-41109). site when drafting amendatory language for Federal regulations: 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). forwarder, NVOCC, etc. (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. (d) Special contracts. (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. (a) Grounds. (b) For purposes of this part, a person is considered to be in the United States if such person is resident in, or incorporated or established under, the laws of the United States. The Commission shall conduct an investigation of the applicant's qualifications for a license. 33 CFR 155.1026 - Qualified individual and alternate qualified 40901-40904), files with the Commission this Insurance Form as evidence of its financial responsibility and evidence of a financial rating for the Insurer 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 organization's letterhead or designated form, or, in the case of insurance 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. (b) To whom issued. The Surety shall not be liable for any transportation-related activities of the OTIs identified in Appendix A as covered by the Principal after the expiration of the 30-day period, but such termination shall not affect the liability of the Principal and Surety for any transportation-related activities occurring prior to the date when said termination becomes effective. The Faculty Multimedia Center (FMC) is a do-it-yourself . Any unreported change may delay the processing and investigation of the application and result in rejection, closing, or denial of the application. Submission is completely voluntary. The term "qualifying individual" (QI) is added and defines QI as an individual who meets the Shipping Act's experience and character requirements. You can also expect the Commission to contact the references for the 1. 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. Form FMC-18must be filed for any changes to a licensee: Other changes to information reported on the original Form FMC-18 may be reported by an officer of the company via email to oti@fmc.gov. proof of legal name) and include the proper fee. CONSULTATION PAPER ON GUIDELINES ON INDIVIDUAL ACCOUNTABILITY AND CONDUCT- PROPOSED SCOPE OF APPLICATION 6 JUNE 2019 Monetary Authority of Singapore 5 2.3 As the underlying principles of clarity in individual responsibilities and proper conduct are applicable across the financial sector, in addition to the list of FIs set out under (a) Necessary qualifications. (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. the surety bond. Submit electronically or print out and complete Form FMC-18: Application for a License as an Ocean Transportation Intermediary. [80 FR 68732, Nov. 5, 2015, as amended at 84 FR 62467, Nov. 15, 2019]. Persons operating without the being replaced. (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. date of application, is also needed for any corporation that has been in PDF Configure ISE 2.4 and FMC 6.2.3 pxGrid Integration Persons who have had their applications rejected may submit a new Form FMC-18 at any time, together with the required filing fee. proposing more than one qualifying individual complete Part D for each (d) Investigation. Solved: Integrating FMC with ISE - Cisco Community of this rider, equals $____. The Federal Maritime Commission amends its regulations pertaining to the licensing requirements of ocean transportation intermediaries in accordance with the Shipping Act of 1984, as amended by The Ocean Shipping Reform Act of 1998. substance. If you work for a Federal agency, use this drafting 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. guide. [515.19(f) &515.20] These changes should be sent tooti@fmc.gov. Please list any organization Whereas, this Guaranty is written to ensure compliance by the Applicant with section 19 of the Shipping Act (46 U.S.C. 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. 515.2(i), (b) A registration form which appears, upon submission, to be substantially incomplete may be rejected. all questions answered or noted "N/A" within those Parts. here. More specific policies and procedures for . completed. or entity of any type whether in the United States or abroad that is affiliated 9. 18. Compliance Programs - Federal Maritime Commission A joint licensee. of Page 10 pertaining to the distribution or possession of a controlled 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. If you would like to comment on the current content, please use the 'Content Feedback' button below for instructions on contacting the issuing agency. (3) Any registered NVOCC, as defined in 515.2(r), shall furnish evidence of financial responsibility in the amount of $150,000. 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 boxes are not acceptable as a business address, but may be used for receipt of 515.16 Revocation or suspension of license. In witness whereof we have hereunto set our hands and seals on this day ____ of ____________, 20____, By: ________________________________________________, Optional Rider for Additional NVOCC Financial Responsibility for Group Bonds [Optional Rider to Form FMC-69]. All graduates of FMC (qualified in Annual and Supplementary Final Prof MBBS Exam) desirous of doing a house job would be provided a paid house job in PAF hospitals. or existing codification. In accordance with that Act, agencies are required to display a currently valid control number. (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. However, minutes can serve as a useful summary of the meeting for future business-related reference. The Commission shall publish on the Commission's Web site www.fmc.gov notice of each revocation and suspension. OMB control number assigned pursuant to the Paperwork Reduction Act. 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. [64 FR 11171, Mar. unrelated to the qualifying individual or applicant, who can verify the duties The terms used in this part are defined as follows: (a) Act or Shipping Act means the Shipping Act of 1984, as amended. Sole proprietorships must show 515.2 (i) and 515.2 (l), 515.11 (a)). here. Dollars or Renminbi Yuan at the option of the Surety) shall be available to any NVOCC enumerated in an Appendix to this Rider to pay any fines and penalties for activities in the U.S.-China trades imposed by the Ministry of Communications of the People's Republic of China (MOC) or its authorized competent communications department of the people's government of the province, autonomous region or municipality directly under the Central Government or the State Administration of Industry and Commerce pursuant to the Regulations of the People's Republic of China on International Maritime Transportation and the Implementing Rules of the Regulations of the PRC on International Maritime Transportation promulgated by MOC Decree No. Individual Retirement Accounts - MFS 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. (a) Forms. Such hearing shall be provided pursuant to the procedures contained in 515.17. 13. Title 46 was last amended 2/27/2023. 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). . (2) Where information identified in an OTI's license renewal process is changed from that set out in its current Form FMC-18 and requires Commission approval pursuant to 515.20, the licensee must promptly submit a request for such approval on Form FMC-18 together with the required filing fee. Guarantor shall not be liable for payments of any of the damages, reparations or penalties hereinbefore described which arise as the result of any transportation-related activities of Applicant after the cancellation of the Guaranty, as herein provided, but such cancellation shall not affect the liability of the Guarantor for the payment of any such damages, reparations or penalties prior to the date such cancellation becomes effective. Such investigations may address: (a) The accuracy of the information submitted in the application; (b) The integrity and financial responsibility of the applicant; (c) The character of the applicant and its qualifying individual; and. Identify three persons, No license will be issued until the Commission is in receipt of valid proof of financial responsibility. (d) Federal military and civilian household goods. You can write to the Secretary, Federal Maritime Commission, 800 North Capitol Street NW., Washington, DC 20573-0001 or email: secretary@fmc.gov. The identity of the shipper must always be disclosed in the shipper identification box on the bill of lading. (b) Operation after death of sole proprietor. The hearing will be adjudicated under the procedures set forth in subpart X of part 502 of this chapter. 1, January 20, 2003. Jeannie Knudson. will bring you to those results. yourself with the rules and regulations pertaining to ocean transportation 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. Indicate all entities of any type whether in the United If the applicant is a corporation or partnership, the names of the officers or partners thereof may be published. PDF Guidelines on Individual Accountability and Conduct 5 Helpful. Claims against an ocean transportation intermediary. 1/1.1 discretion, undertake a supplementary investigation to determine the continued When a partnership, LLC, or corporation has been licensed on the basis of the qualifications of one or more of the partners, members, managers or officers thereof, and the QI no longer serves as a full-time employee with the OTI or is no longer responsible for the licensee's OTI activities, the licensee shall report such change to the Commission within thirty (30) days. sheet, please label the supplemental response to match the item number on the 0 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. application to make certain that all applicable parts have been completed and 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. is available with paragraph structure matching the official CFR Dollars or Renminbi Yuan at the option of the Surety) shall be available to pay any fines and penalties for activities in the U.S.-China trades imposed by the Ministry of Communications of the People's Republic of China (MOC) or its authorized competent communications department of the people's government of the province, autonomous region or municipality directly under the Central Government or the State Administration of Industry and Commerce pursuant to the Regulations of the People's Republic of China on International Maritime Transportation and the Implementing Rules of the Regulations of the PRC on International Maritime Transportation promulgated by MOC Decree No. Responsibility Requirements. 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. An OTI who has reason to believe that its principal or shipper has not, with respect to a shipment to be handled by such OTI, complied with the laws of the United States, or has made any error or misrepresentation in, or omission from, any export declaration, bill of lading, affidavit, or other document which the principal or shipper executes in connection with such shipment, shall advise its principal or shipper promptly of the suspected noncompliance, error, misrepresentation or omission, and shall decline to participate in any transaction involving such document until the matter is properly and lawfully resolved. 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 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. made within 45 days from receipt of the application, assuming the application 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) 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. 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. Should the QI no longer serve as an officer and employee of the OFF, the OFF must replace the QI within 30 days. If applicant is currently licensed as an ocean freight The acceptance or solicitation of any other shipments is expressly prohibited until a new license has been issued. is also required for applications seeking approval of a change in business receipt of the proof of financial responsibility, the Commission will, at its % (b) Certification required for compensation. 9. the applicant holds stock in another entity). In the case of a guaranty covering the liability of a group or association of OTIs, Guarantor's obligation extends only to such damages, reparations or penalties described herein as are not covered by another insurance policy, guaranty or surety bond held by the OTI(s) against which a claim or final judgment has been brought. If replacing a qualifying individual, list the name of the individual telephone at(202) 523-5843 (Office of Transportation Intermediaries) or by fax 515.25 Filing of proof of financial responsibility. (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. 41301-41302, 41305-41307(a)), or any penalty assessed against the Insured pursuant to section 13 of the Shipping Act (46 U.S.C.