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. - Sign the CSR request from Internal CA. 8. have any questions, please call BCL, Office of Transportation Intermediaries at The QI must have no less than three years of experience processing freight shipments in the U.S. ocean trade lane. Should the QI no longer serve as an officer and employee of the OFF, the OFF must replace the QI within 30 days. The Office of the Federal Register publishes documents on behalf of Federal agencies but does not have any authority over their programs. (h) Express written authority. firm, please identify the person/firm and explain the relationship, e.g. Applicants whose applications/approvals have become invalid may submit a new Form FMC-18, together with the required filing fee, at any time. 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. SAF/FM is composed of four directorates, or "3-Letter" organizations, each . applications. (b) To whom issued. Administrative subpoenas shall be served in accordance with 502.134 of this chapter. (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. The guaranty must be placed with: (1) A Guarantor having a financial rating of Class V or higher under the Financial Size Categories of A.M. Best & Company, or equivalent from an acceptable international rating organization; (d) Evidence of financial responsibility of the type provided for in paragraphs (a), (b) and (c) of this section established through and filed with the Commission by a group or association of ocean transportation intermediaries on behalf of its members, subject to the following conditions and procedures: (1) Each group or association of ocean transportation intermediaries shall notify the Commission of its intention to participate in such a program and furnish documentation as will demonstrate its authenticity and authority to represent its members, such as articles of incorporation, bylaws, etc. The qualifying individuals experience must have been gained in the United States. A separate file shall be maintained for each shipment. in the group's annual report. U.S. Customs and Border Protection. punctuation. The Commission has received OMB approval for this collection of information pursuant to the Paperwork Reduction Act of 1995, as amended. FEDERAL MARITIME COMMISSION . 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. For the purposes of this part, the term: (1) Ocean freight forwarder (OFF) means a person that -, (i) In the United States, dispatches shipments from the United States via a common carrier and books or otherwise arranges space for those shipments on behalf of shippers; and, (ii) Processes the documentation or performs related activities incident to those shipments; and. E-Learning Home. parent or holding company will have a beneficial interest in shipments moving This part also prescribes the financial responsibility requirements and the duties and responsibilities of ocean transportation intermediaries, and regulations concerning practices of ocean transportation intermediaries with respect to common carriers. Obtain Three Good References for the Qualifying Individual. 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). Medicare provides four savings programs with different income and resource limits. The Principal or the Surety may at any time terminate this bond by mail or email (bcl@fmc.gov) written notice to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. an ocean transportation intermediary license. All subsequent renewals will take place on regular three-year intervals. 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. instance where the application has been processed in whole or part. 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. endstream endobj 1209 0 obj <>/Metadata 71 0 R/Pages 1206 0 R/StructTreeRoot 112 0 R/Type/Catalog>> endobj 1210 0 obj <>/MediaBox[0 0 612 792]/Parent 1206 0 R/Resources<>/Font<>/ProcSet[/PDF/Text/ImageC]/XObject<>>>/Rotate 0/StructParents 0/Tabs/S/Type/Page>> endobj 1211 0 obj <>stream 8, 1999, as amended at 80 FR 68737, Nov. 5, 2015]. 2. An official document supporting the legal name shall be made within 45 days from receipt of the application, assuming the application When a licensed freight forwarder is employed to perform forwarding services by the agent of the person responsible for paying for such services, the licensed freight forwarder shall also transmit a copy of its invoice for services rendered to the person paying those charges. 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. (k) Non-vessel-operating common carrier services refers to the provision of transportation by water of cargo between the United States and a foreign country for compensation without operating the vessels by which the transportation is provided, and may include, but are not limited to, the following: (1) Purchasing transportation services from a common carrier and offering such services for resale to other persons; (2) Payment of port-to-port or multimodal transportation charges; (3) Entering into affreightment agreements with underlying shippers; (4) Issuing bills of lading or other shipping documents; (5) Assisting with clearing shipments in accordance with U.S. government regulations; (6) Arranging for inland transportation and paying for inland freight charges on through transportation movements; (7) Paying lawful compensation to ocean freight forwarders; (8) Coordinating the movement of shipments between origin or destination and vessel; (10) Entering into arrangements with origin or destination agents; (11) Collecting freight monies from shippers and paying common carriers as a shipper on NVOCC's own behalf. 2. Holding companys identify affiliations that are 40501 and part 520 of this chapter, and a bond, insurance, or other surety as required by 46 U.S.C. Use a different letter for each qualifying individual (i.e., A5, (b) Agents, employees, or branch offices of an ocean transportation intermediary. of Page 10 pertaining to the distribution or possession of a controlled 2 The term "qualifying child" is covered in Tab C, Dependents. switch to drafting.ecfr.gov. Many of our PDF forms and applications can be completed online. Persons who have had their applications rejected may submit a new Form FMC-18 at any time, together with the required filing fee. Featured links. 1, January 20, 2003. b. Jeannie Knudson. 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. All hearing requests under 515.15 and 515.16 shall be submitted to the Commission's Secretary. (e) Optional bond riders. If you have comments or suggestions on how to improve the www.ecfr.gov website or have questions about using www.ecfr.gov, please choose the 'Website Feedback' button below. No OTI shall permit its name, license, license number, registration, or registration number to be used by any person who is not an employee or an agent of the OTI. The section also explains the General Duties for 515.2(i) and 515.2(l), 515.11(a),. Jun. Search & Navigation Bonds must be issued by a surety company found acceptable by the Secretary of the Treasury; (b) Insurance, by filing with the Commission evidence of insurance on Form FMC-67. (2) Partnership. [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]. Define Qualifying Individual. Persons operating without the proper license or registration may be subject to civil penalties not to exceed $9,000 for each such violation, unless the violation is willfully and knowingly committed, in which case the amount of the civil penalty may not exceed $45,000 for each violation; for other violations of the provisions of this part, the civil penalties range from $9,000 to $45,000 for each violation (46 U.S.C. 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. application, e.g. 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. 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. the applicant holds stock in another entity). applicable Parts completed. Hearing procedures governing denial, revocation, or suspension of OTI license. A license number should be provided only by those persons who are already licensed. (b) Information obtained under this part is used to determine the qualifications of ocean transportation intermediaries and their compliance with shipping statutes and regulations. 6. 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. We're seeking qualified, motivated individuals who will help UCF fulfill its mission in unleashing the potential of every individual, enriching the human experience through inclusion, discovery, and innovation; and propelling broad-based prosperity for the many communities we serve. The Commission will issue a license only in the name of the applicant, whether the applicant is a sole proprietorship, a partnership, a corporation, or limited liability company. (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. 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. 305, 40102, 40104, 40501-40503, 40901-40904, 41101-41109, 41301-41302, 41305-41307; Pub. In the event a licensee acquires one or more additional licensees, for the purpose of merger, consolidation, or control, the acquiring licensee shall advise the Commission of such acquisition, including any change in ownership, within 30 days after such change occurs by submitting an amended Form FMC-18. the qualifying individual is a corporate officer or partner, attach A record of all sums received and/or disbursed by the licensee for services rendered and out-of-pocket expenses advanced in connection with each shipment, including specific dates and amounts. Each applicant shall be investigated in accordance with 515.13. (e) Changes in fact. The Commission may also seek payment of civil penalties assessed under section 13 of the Shipping Act (46 U.S.C. The information in this document is based on these software and hardware versions: Standalone ISE 2.4 FMCv 6.2.3 Active Directory 2012R2 Identity Services Engine (ISE)pxGrid version 2.4 Firepower Management Center (FMC) version 6.2.3 The information in this document was created from the devices in a specific lab environment. of this rider, equals $____. (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. 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. if this is an application for a license transfer, this question must be Application Type: New OFF & NVO License. Such notices may include or attach other information relevant to the claim. If this is an _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; will bring you to those results. 13. But only an HSA lets you take tax-free distributions for qualified medical expenses. License Application Form FMC-18 is found at the Commission's website www.fmc.gov for completion on-line by applicants and licensees. NZICA Accredited body report (1) Any person who wishes to obtain a license to operate as an ocean transportation intermediary shall submit electronically a completed application Form FMC-18 (Application for a License as an Ocean Transportation Intermediary) in accordance with the automated FMC-18 filing system and corresponding instructions. All application forms (FMC-18) are now filed electronically. Replacement financial responsibility must bear an effective date no later than the termination date of the expiring financial responsibility instrument. 862. The Faculty Multimedia Center (FMC) is a do-it-yourself . No licensed freight forwarder shall withhold any information concerning a forwarding transaction from its principal, and each licensed freight forwarder shall comply with the laws of the United States and shall exercise due diligence to assure that all information provided to its principal or provided in any export declaration, bill of lading, affidavit, or other document which the licensed freight forwarder executes in connection with a shipment is accurate. The qualifying individual must have All application forms (FMC-18) are now filed electronically. Generally, you can expect The Surety shall not be liable for fines or penalties imposed on 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 fine or penalty imposed prior to the date when said termination becomes effective. A group or association of ocean transportation intermediaries may also file an optional bond rider as provided in 515.25(b). Attach all supporting to include the proper fee with your application will cause it to be returned 40901-40904), files this bond with the Commission; Whereas, this bond is written to ensure compliance by the Principal with section 19 of the Shipping Act (46 U.S.C. office is to be listed in Part F. Branch offices outside the US are not 40101-41309, and, if necessary, has a valid tariff published pursuant to 46 CFR part 515 and 520, and pursuant to section 19 of the Shipping Act (46 U.S.C. 20573-0001. Learn more about the eCFR, its status, and the editorial process. 515.16 Revocation or suspension of license. A licensed freight forwarder may place an employee or employees on the premises of its principal as part of the services rendered to such principal, provided: (1) The in-plant forwarder arrangement is reduced to writing and identifies all services provided by either party (whether or not constituting a freight forwarding service); states the amount of compensation to be received by either party for such services; sets forth all details concerning the procurement, maintenance or sharing of office facilities, personnel, furnishings, equipment and supplies; describes all powers of supervision or oversight of the licensee's employee(s) to be exercised by the principal; and details all procedures for the administration or management of in-plant arrangements between the parties; and. 8, 1999, unless otherwise noted. contact the publishing agency. 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 A registration shall become automatically ineffective for a failure of a registered NVOCC to maintain proof of financial responsibility on file with the Commission. You may The eCFR is displayed with paragraphs split and indented to follow The effective date of this undertaking shall be ____ day of ____, ____, and shall continue in effect until discharged or terminated as herein provided. 515.22 Proof of financial responsibility. license, state the name of the existing company whose license is being 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. Licensing, 800 North Capitol Street N.W., Washington, D.C. 20573-0001. consider the application to be void. What is the definition of a qualified individual? persons to verify the information set forth on the Form FMC-18. (2) Non-vessel-operating common carrier (NVOCC) means a common carrier that does not operate the vessels by which the ocean transportation is provided, and is a shipper in its relationship with an ocean common carrier. 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. Ocean Transportation Intermediary (OTI) Group Supplemental Coverage Bond Form (Shipping Act of 1984 (46 U.S.C. (1) Licenses. The Applicant or Guarantor 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 under the Guaranty. 6. 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. [64 FR 11171, Mar. 41107-41109), then, provided that the FMC shall have accepted, as sufficient for that purpose, the Applicant's application, supported by evidence of a financial rating for the Guarantor of Class V or higher under the Financial Size Categories of A.M. Best & Company or equivalent from an acceptable international rating organization on such rating organization's letterhead or designated form, or, in the case of Guaranty provided by Underwriters at Lloyd's, documentation verifying membership in Lloyd's, or, in the case of surplus lines insurers, documentation verifying inclusion on a current white list issued by the Non-Admitted Insurers' Information Office of the National Association of Insurance Commissioners, the undersigned Guarantor certifies that it has sufficient and acceptable assets located in the United States to cover all damages arising from the transportation-related activities of the covered OTI as specified under the Shipping Act. application. information or personal data. Each forwarder shall retain evidence in its shipment files that the forwarder, in fact, has performed the required services enumerated on the certification. <iframe title="Intentionally Blank" src="https://www.googletagmanager.com/ns.html?id=GTM-MBGXM55" height="0" width="0" aria-hidden="true" style="display:none . Basic requirements for licensing; eligibility. The notice of revocation or suspension will provide, in detail, a statement of the facts supporting the action. A common carrier or agent thereof which meets the requirements of this part may be licensed as an ocean freight forwarder to dispatch shipments moving on other than such carrier's own bills of lading subject to the provisions of 515.42(g).
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