(D) By other means authorized by the Director of the Commission's Office of Budget and Finance. qualifying individual(s). (b) Arrangements with unauthorized persons. 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. 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. If you would like to comment on the current content, please use the 'Content Feedback' button below for instructions on contacting the issuing agency. Part 515 of Additional Qualifying Individual [ ] Replacement Qualifying Individual [ ](Name of individual being replaced: ) 11. 64 FR 11171, Mar. (a) Form and amount. The required certification may be provided electronically by the forwarder or may be placed on one copy of the relevant bill of lading, a summary statement from the forwarder, the forwarder's compensation invoice, or as an endorsement on the carrier's compensation check. (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. 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. 41301-41302, 41305-41307(a)), or any penalty assessed against the Insured pursuant to section 13 of the Shipping Act (46 U.S.C. to share office space or is currently sharing space with another person or 8. (d) The Federal Maritime Commission shall not serve as depository or distributor to third parties of bond, guaranty, or insurance funds in the event of any claim, judgment, or order for reparation. 9. FMC-18, including any attachments, must be submitted in duplicate with all of Certification and Licensing, 800 North Capitol Street N.W., Washington, D.C. The certification shall read as follows: The undersigned hereby certifies that neither it nor any holding company, subsidiary, affiliate, officer, director, agent or executive of the undersigned has a beneficial interest in this shipment; that it is the holder of valid FMC License No. (b) The qualified individual and alternate must - No license or registration shall remain in effect unless valid proof of a financial responsibility instrument is maintained on file with the Commission. A licensed freight forwarder may own, operate, or otherwise maintain or supervise an electronic data interchange-based computer system in its forwarding business; however, the forwarder must directly perform value-added services as described in paragraph (c) of this section in order to be entitled to carrier compensation. (2) Notices described in paragraph (c)(1) of this section shall be promptly submitted in writing by mail or email (bcl@fmc.gov) to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. 8, 1999, as amended at 67 FR 39860, June 11, 2002; 74 FR 50719, Oct. 1, 2009; 84 FR 62468, Nov. 15, 2019]. (e) Optional bond riders. are deleting a trade name, clearly specify the name being deleted. 40901-40904), and the rules and regulations of the Federal Maritime Commission relating to evidence of financial responsibility for OTIs (46 CFR part 515), this bond shall be available to pay any judgment obtained or any settlement made pursuant to a claim under 46 CFR 515.23 for damages against the Principal arising from the Principal's transportation-related activities under the Shipping Act, or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. qualify, it is suggested that you review 46 C.F.R. full text search results Identify three persons, Under FRP, what is the definition of a qualified individual? To receive the program benefits,. conglomerates must submit a list of all subsidiaries and affiliations printed 6, 2004; 80 FR 68735, Nov. 5, 2015; 85 FR 9683, Feb. 20, 2020]. 5 Helpful. 41107-41109). 42301 - 42307 The bond, insurance, or other surety covers the transportation-related activities of an ocean transportation intermediary. 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. copies of the Form FMC-18 and the related Surety Bond Form FMC-48, at the proposing more than one qualifying individual complete Part D for each If you need additional space, enter the information on 4. Last Updated 6/24/2013 Page 3 Note: After edits are made to Qualifying Individuals use the Undo ( ) icon to undo changes made. Whereas, this Guaranty is written to ensure compliance by the Applicant with section 19 of the Shipping Act (46 U.S.C. The QI program helps pay your Part B premiums. U.S. Department of Transportation Federal Aviation Administration 800 Independence Avenue, SW Washington, DC 20591 1-866-TELL-FAA (1-866-835-5322) All hearing requests under 515.15 and 515.16 shall be submitted to the Commission's Secretary. Learn more about the eCFR, its status, and the editorial process. involved with foreign water borne commerce. If applicant is currently licensed as an ocean freight (viii) Failure to designate and maintain a person in the United States as legal agent for the receipt of judicial and administrative process, including subpoenas, as required by 515.24. 515.2(i) and 515.2(l), 515.11(a)). (b) Beneficial interest includes a lien or interest in or right to use, enjoy, profit, benefit, or receive any advantage, either proprietary or financial, from the whole or any part of a shipment of cargo where such interest arises from the financing of the shipment or by operation of law, or by agreement, express or implied. 40902 and this part; and. Otherwise, the denial of the application will become effective and the applicant shall be so notified. 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. export shipper, steamship agent, air freight (202) 523-5843 before filing your application. [80 FR 68734, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. 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. 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. It is not an official legal edition of the CFR. (a) Except as otherwise provided in this part, no person in the United States may advertise, hold oneself out, or act as an ocean transportation intermediary unless that person holds a valid license issued by the Commission. (g) Freight forwarding fee means charges billed by an ocean freight forwarder to a shipper, consignee, seller, purchaser, or any agent thereof, for the performance of freight forwarding services. Registration of foreign-based unlicensed NVOCC. Check the boxes that apply. In such cases, a group or association must establish financial responsibility in an amount equal to the lesser of the amount required by paragraph (a) of this section for each member, or $3,000,000 in aggregate. In the event an applicant fails to provide documents or information necessary to complete processing of its application, notice will be sent to the applicant identifying the necessary information and documents and establishing a date for submission by the applicant. (3) Corporation. qualification of the applicant. (s) Shipment means all of the cargo carried under the terms of a single bill of lading. (a) Disclosure of principal. (2) Prepared and processed the ocean bill of lading, dock receipt, or other similar document with respect to the shipment. 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. 17. 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. qualifying individual, other officer, director, partner, member, stockholder, substance. Commission's rules. license (transferee). Regulation Y This Guaranty shall be governed by the laws in the State of ____ to the extent not inconsistent with the rules and regulations of the FMC. A separate file shall be maintained for each shipment. (2) If the parties fail to reach an agreement in accordance with paragraph (b)(1) of this section within ninety (90) days of the date of the initial notification of the claim, the bond, insurance, or other surety shall be available to pay any final judgment for reparations ordered by the Commission or damages obtained from an appropriate court. You can write to the Secretary, Federal Maritime Commission, 800 North Capitol Street NW., Washington, DC 20573-0001 or email: secretary@fmc.gov. Non-U.S.-based NVOCCs may obtain a registration or license from the FMC. (i) Compensation; beneficial interest. applicant and complete the section C titled Name Change/License Transfer to Hearing procedures governing denial, revocation, or suspension of OTI license. 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. This Guaranty is effective the day of ____, ____, ____ 12:01 a.m., standard time at the address of the Guarantor as stated herein and shall continue in force until terminated as herein provided. the Commission's regulations that explains the Licensing and Financial The OTI must timely replace the QI, as provided by the Commission's . 41104(a)(11), unless the common carrier knew that such NVOCC or OFF was not in compliance with the applicable tariff or financial responsibility requirements. The guaranty must provide coverage for damages, reparations or penalties arising from any transportation-related activities under the Act of the covered ocean transportation intermediary. (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. complete Part F. 3. No licensed freight forwarder, or employee thereof, shall accept compensation from a common carrier which is different from that specifically provided for in the carrier's effective tariff(s). (c) Reduced forwarding fees. A joint licensee. There is no fee for filing changes to pending Clearly mark supplemental pages 1A, 2B, in the group's annual report. The qualifying individual must have 2022 Distribution-Publications, Inc. All rights reserved. Individuals listed as a Qualifying Individual on the Company (MU1) Form filing must have an individual NMLS account and will be required to complete made within 45 days from receipt of the application, assuming the application Form FMC-65 must be filed by a non-U.S.-based-registered NVOCC if any information reported on the original Form FMC-65 has changed. The licensee may continue to operate as an ocean transportation intermediary during the pendency of the Commission's approval process. Post office (2) The arrangement is not an artifice for a payment or other unlawful benefit to the principal. Failure to follow the provisions of this part may result in denial, revocation or suspension of an ocean transportation intermediary license or registration. For LLPs and LLCs, an Amended Partner Membership <> appropriate box that applies to the applicant. In accordance with that Act, agencies are required to display a currently valid control number. (m) Ocean transportation intermediary (OTI) means an ocean freight forwarder or a non-vessel-operating common carrier. An applicant that previously held an OTI license that was revoked or Please click here to be redirected. If the Commission determines, as a result of its investigation, that the applicant: (a) Does not possess the necessary experience or character to render intermediary services; (b) Has failed to respond to any lawful inquiry of the Commission; or. office is to be listed in Part F. Branch offices outside the US are not (1) Any person in the United States advertising, holding oneself out, or acting as an ocean freight forwarder as defined in 515.2(m)(1) shall furnish evidence of financial responsibility in the amount of $50,000. Submit electronically or print out and complete Form FMC-18: Application for a License as an Ocean Transportation Intermediary. 9th Floor. 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. Applicant and Guarantor agree to handle the processing and adjudication of claims by claimants under the Guaranty established herein in the United States, unless by mutual consent of all parties and claimants another country is agreed upon. 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. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; 1208 0 obj <> endobj should be reported as soon as possible to preclude any processing delay that 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. Application Type: New OFF & NVO License. (b) Group financial responsibility. A filing fee shall be paid, as required under 515.5(c). QI-1 eligible beneficiaries receive help with part of their Medicare expenses through state Medicaid programs. Upon the request of its principal(s), each licensed freight forwarder shall provide a complete breakout of its charges and a true copy of any underlying document or bill of charges pertaining to the licensed freight forwarder's invoice. (b) A registration form which appears, upon submission, to be substantially incomplete may be rejected. (c) Common carriers. Now, Therefore, The condition of this obligation is that the penalty amount of this Guaranty shall be available to pay any judgment obtained or any settlement made pursuant to a claim under 46 CFR 515.23 for damages against the Applicant arising from the Applicant's transportation-related activities or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. 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. Failure to comply with Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. 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. When the licensee's or registrant's name appears on shipping documents, its Commission license or registration number shall also be included. Join Our Team All application forms (FMC-18) are now filed electronically. Note: If you are a noncustodial parent, the term "qualifying child" for head of household Identify any person Thereafter, licenses will be renewed for sequential three-year periods upon successful completion of the renewal process in paragraph (d) of this section. (See 46 C.F.R. Step 3: Appoint a qualifying individual (QI) with at least 3 years of verifiable OTI experience. "Qualifying Individual-1" means a Qualified Individual who meets the Qualifying Individual-1 income and resource standards. Submit Form FMC-18 and the required license application fee. ____, 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. You should familiarize An affiliation is deemed to exist if any person listed in If rejected, a notice, together with the reasons therefore, shall be sent to the foreign-based unlicensed NVOCC. A registration shall not become effective until the applicant has furnished proof of financial responsibility pursuant to 515.21, has submitted a Form FMC-1, and its published tariff becomes effective pursuant to 46 CFR part 520. Ocean Transportation Intermediary (OTI) Group Supplemental Coverage Bond Form (Shipping Act of 1984 (46 U.S.C. commerce. These rules and regulations are contained in section 19 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. 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. 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. (See 46 C.F.R. the amount of the civil penalty may increase to $30,000 for each violation. 7. - Sign the CSR request from Internal CA. (w) United States includes the several States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Marianas, and all other United States territories and possessions. The following notice shall appear on each invoice to a principal: Upon request, we shall provide a detailed breakout of the components of all charges assessed and a true copy of each pertinent document relating to these charges. date of application, is also needed for any corporation that has been in Neither the Principal nor the Surety shall be liable for any transportation-related activities of the OTI(s) deleted from Appendix A that occur 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 of said OTI(s) occurring prior to the date when said termination becomes effective. performed by the qualifying individual. discretion, undertake a supplementary investigation to determine the continued 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. ZI])(. Medicare provides four savings programs with different income and resource limits. (Please type name of signer under each signature). Write your awesome label here. telephone at(202) 523-5843 (Office of Transportation Intermediaries) or by fax 40501 and part 520 of this chapter, and a bond, insurance, or other surety as required by 46 U.S.C. 14. This evidence of financial responsibility shall be accompanied by: in the case of a financial rating, the Guarantor's financial rating on the rating organization's letterhead or designated form; in the case of a guaranty provided by Underwriters at Lloyd's, documentation verifying membership in Lloyd's; and in the case of a guaranty provided by 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. A common carrier, or agent thereof, may perform ocean freight forwarding services without a license only with respect to cargo carried under such carrier's own bill of lading. seeks a change in business structure, license transfer, or name change. Please do not provide confidential 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.
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