fmc qualifying individual

OTI experience obtained outside the US .) 19. 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). that apply. %%EOF The primary responsibility of the Assistant Secretary of the Air Force, Financial Management and Comptroller (SAF/FM) is to exercise of the comptroller functions of the Department of the Air Force, including financial management functions. 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. 8, 1999, as amended at 80 FR 68733, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. and the number of branch offices indicated. 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. 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. Registration of foreign-based unlicensed NVOCC. 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. 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. This content is from the eCFR and may include recent changes applied to the CFR. Non-U.S.-based NVOCCs, unless licensed, are required to submit proof of financial responsibility in the amount of $150,000; it is recommended that the registered NVOCC use a licensed OTI for any OTI services performed on its behalf in the United States. 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. 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 group 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 such OTIs arising from OTI transportation-related activities under the Shipping Act, or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. (c) Guaranty, by filing with the Commission evidence of guaranty on Form FMC-68. The Code of Federal Regulations (CFR) is the official legal print publication containing the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government. 04. The required OTI experience of the QI of a foreign-based NVOCC seeking to become licensed under this part (foreign-based licensed NVOCC) may be experience acquired in the U.S. or a foreign country with respect to shipments in the United States oceanborne foreign commerce. Except for the automatic revocation for termination of proof of financial responsibility under 515.26, a license may be revoked or suspended after notice and an opportunity for a hearing under the procedures of 515.17. The Commission will update this list on a periodic basis. A true copy, or if oral, a true and complete memorandum, of every special arrangement or contract between a licensed freight forwarder and a principal, or modification or cancellation thereof. Last Updated 6/24/2013 Page 3 Note: After edits are made to Qualifying Individuals use the Undo ( ) icon to undo changes made. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; will bring you to those results. Apply Today To learn more about working at FMC, visit our Careers page. No fee shall be charged for reporting such changes. Company Name, including additions or removals of trade names, Business structure change (such as a conversion from a corporation to an LLC), Addition of NVOCC or Ocean Freight Forwarding authority. - Download the Root Cert and Intermediate Root (if you have one) - Upload the Root + Int Root to FMC. (For license transfers, the information will be that of the Included with BEICs letter is a multi-page questionnaire that requests specific information on matters such as: A list ofOTI regulatory obligationsalso is provided at the commencement of each compliance audit. contained in the Form FMC-18 must be reported to the Commission within 30 days (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. If the applicant copies of the Form FMC-18 and the related Surety Bond Form FMC-48, at the Any person which exclusively transports used household goods and personal effects for the account of the Department of Defense, or for the account of the federal civilian executive agencies shipping under the International Household Goods Program administered by the General Services Administration, or both, is not subject to the requirements of subpart B of this part, but may be subject to other requirements, such as alternative surety bonding, imposed by the Department of Defense, or the General Services Administration. Such amount is separate and distinct from the bond amount set forth in the first paragraph of this Bond. (i) Accounting to principal or shipper. 5. Principal's Agent for Service of Process (Required if Principal is not a U.S. Licensed, Non-U.S.-based NVOCCsare required to submit proof of financial responsibility in the amount of $75,000. attached to the Form FMC-18. 2. US 1331 Pennsylvania Avenue, NW. (c) If the designated legal agent cannot be served because of death, disability, unavailability, termination or expiration of the designation, or if a legal agent authorized to receive such service is not designated in compliance with this section, the Secretary of the Federal Maritime Commission will be deemed to be the legal agent for service of process. A license issued to a sole proprietor doing business under a trade name shall be in the name of the sole proprietor, indicating the trade name under which the licensee will be conducting business. 1208 0 obj <> endobj officer, director, or stockholder and the percentage of ownership. (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. 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. [80 FR 68734, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. A person cannot be certified for any other Medicaid-funded program and the QI program at the same time. Except as otherwise provided in this part, no person may advertise, hold oneself out, or act as an ocean transportation intermediary unless that person furnishes a bond, proof of insurance, or other surety in a form and amount determined by the Commission to insure financial responsibility. Jun. must match exactly the legal name of the applicant including abbreviations and Each day of a continuing violation shall constitute a separate violation. Unlike corporations, LLCs are not required by state law to track meeting minutes upon convening. 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. (Qualifying Individuals for NVOCCs not in the US may submit proof of The required OTI experience of the QI of a foreign-based NVOCC seeking to become licensed under this part (foreign-based licensed NVOCC) may be acquired in the U.S. or a foreign country with respect to shipments in the United States oceanborne foreign commerce. 1, January 20, 2003. (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. OMB control number assigned pursuant to the Paperwork Reduction Act. (5) Failure to honor the licensee's financial obligations to the Commission. A branch office of an OTI may use the license of the OTI, provided that the address of the branch office has been reported to the Commission in Form FMC-18 or pursuant to 515.20(e). No licensed freight forwarder shall share, directly or indirectly, any compensation or freight forwarding fee with a shipper, consignee, seller, or purchaser, or an agent, affiliate, or employee thereof; nor with any person advancing the purchase price of the property or guaranteeing payment therefor; nor with any person having a beneficial interest in the shipment. seeks a change in business structure, license transfer, or name change. (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. surrendered, must complete Question No. of more than one trade name, documentation is needed stating which name will be ), Ocean Transportation Intermediary (OTI) Insurance, Form Furnished as Evidence of Financial Responsibility. Officer: Matthew A. Keces, Sole Proprietor, (Qualifying Individual). The FRP regulations require facilities to prepare an emergency response action plan and identify a qualified individual that has full authority, including contracting authority, to implement removal actions (40 CFR 112.20 (h) (i)). FMC Regulations & Statutes Regulations e-CFR pertaining to the FMC: 46 CFR 500 (GPO) Historical versions of the CFR (annual edition from FDsys) Statutes pertaining to the FMC Shipping Act of 1984 - 46 U.S.C. (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. 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. He or she need not be a shareholder of the company, but must be an officer and a full-time employee. The total amount of aggregate coverage equals or exceeds $125,000. Persons who have had a registration rejected may submit a new registration at any time. 9. information or personal data. Attach all supporting are deleting a trade name, clearly specify the name being deleted. (2) Whenever a person acts in the capacity of an NVOCC as to any shipment, such person shall not collect compensation, nor shall any underlying ocean common carrier pay compensation to such person, for such shipment. qualifying individual, other officer, director, partner, member, stockholder, 41104(a)(11), unless the common carrier knew that such NVOCC or OFF was not in compliance with the applicable tariff or financial responsibility requirements. (b) Notice. Other changes in material fact of a licensee shall be reported within thirty (30) days of such changes, in writing by mail or email (bcl@fmc.gov) to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. (c) Information provided to the principal. xZmoFna?R%(sd9u9IMqh,9$;,XKr(K Efggyv7HU~a|Q1Y/97..nx/OINd/'d|lpz9||mmSX=}8=lT}== &lL~_'mzU]3 HYc%BfK? std$: #zVs`q -?_=UI WLze? r*"Crz3alF\/ X^9|O8JrW){ZR)KH~()> 'e2(q4P~D 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. (4) Permit any such person, directly or indirectly, to participate, through ownership or otherwise, in the control or direction of the ocean transportation intermediary business of the licensee or registrant. 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 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. If you are changing used with the Ocean Freight Forwarder (OFF) and Non-Vessel-Operating Common (1) Grounds. p;^z^r':;@{GKC 0e`} ^8 T@T!n9Sp Y "0429D -3,~iF i 20* uT Carrier (NVOCC) licenses. going to conduct OTI business through branch offices in the 1 CFR 1.1 (b) Types of services by shipment. The Qualifying Individual or QI program is a Medicare savings program (MSP). (d) Common carrier. Just click inside the text box that you want to fill in and enter the information. The qualifying individual must have 515.17 Hearing procedures governing denial, revocation, or suspension of OTI license. Privacy Act and Paperwork Reduction Act Notice. Whereas, the Insurer certifies that it has sufficient and acceptable assets located in the United States to cover all liabilities of Insured herein described, this Insurance shall inure to the benefit of any and all persons who have a bona fide claim against the Insured pursuant to 46 CFR 515.23 arising from its transportation-related activities under the Shipping Act, or order of reparation issued pursuant to section 11 of the Shipping Act (46 U.S.C. Sole proprietorships must show The Bureau of Enforcement, Investigation, and Compliance (BEIC) actively fosters industry compliance with theShipping Act and other statutes and regulations within the Commissions authority. 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. (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. An independently qualified applicant may be granted a separate license to carry on the business of providing ocean transportation intermediary services even though it is associated with, under common control with, or otherwise related to another ocean transportation intermediary through stock ownership or common directors or officers, if such applicant submits: A separate application and fee, and a valid instrument of financial responsibility in the form and amount prescribed under 515.21. 515.2(i), If you have any questions regarding the OTI list, please contact Commission staff at (202) 523-5787 Commission staff will acknowledgereceipt andadvise if any further action is required. Obtain Three Good References for the Qualifying Individual. Please complete the appropriate section below (8A or 8B). 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. This web site is designed for the current versions of 41107-41109). 1240 0 obj <>stream [64 FR 11171, Mar. FEDERAL MARITIME COMMISSION . (2) Any person in the United States advertising, holding oneself out, or acting as an NVOCC as defined in 515.2(m)(2) shall furnish evidence of financial responsibility in the amount of $75,000. In any instance where an application has been processed in whole or in part, the fee will not be refunded. (j) Licensee is any person licensed by the Federal Maritime Commission as an ocean transportation intermediary. (f) Registered NVOCCs must report in writing to BCL any changes, within 30 days of such changes, to: legal name(s) or trade name(s); principal place of business address (including telephone number, facsimile number); contact person and email address (including physical address if different from principal place of business); name of resident agent(s) (including physical address, mailing address, email address, telephone and facsimile number(s), and contact person) in the United States for receipt of service of judicial and administrative process (including subpoenas). [64 FR 11171, Mar. A common carrier may pay compensation to a licensed freight forwarder only pursuant to such common carrier's tariff provisions. 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. Application Type: New OFF & NVO License. these rules and regulations may result in denial, revocation or suspension of Featured links. 40901-40904)) ____ [indicate whether NVOCC or Freight Forwarder], as Principal (hereinafter Principal), and ____, as Surety (hereinafter Surety) are held and firmly bound unto the United States of America in the sum of $____ for the payment of which sum we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally. 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. (a) Necessary qualifications. Commissions website, www.fmc.gov , or by full text search results 1 0 obj 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. 3411; 21 U.S.C. Location: Omaha, Nebraska Details: Click Here for complete meet details on the USA Swimming website. Non-U.S.-based NVOCCs may obtain a registration or license from the FMC. <iframe title="Intentionally Blank" src="https://www.googletagmanager.com/ns.html?id=GTM-MBGXM55" height="0" width="0" aria-hidden="true" style="display:none . 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 . (c) Registrations are complete upon receipt of a registration form which meets the requirements of this section, evidence of financial responsibility pursuant to 515.21, and Form FMC-1 pursuant to 520.3. (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 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. B. 18. documentation that will verify that fact, e.g. The qualifying individuals experience must have been gained in the United States. 0 parent 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. The qualifying individual's experience must have been gained in the United States. Subpart D - Duties and Responsibilities of Ocean Transportation Intermediaries; Reports to Commission, Subpart E - Freight Forwarding Fees and Compensation. The eCFR is displayed with paragraphs split and indented to follow In addition, each licensed freight forwarder must maintain the following records for a period of five years: (a) General financial data. must be attached to the Form FMC-18 with the initial application. (a) Notice of shipper affiliation. The terms used in this part are defined as follows: (a) Act or Shipping Act means the Shipping Act of 1984, as amended. (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. (b) Filing of license application forms. (d) Special contracts. The Register can be searched here. If you have questions for the Agency that issued the current document please contact the agency directly. If you are changing your . 40501 and part 520 of this chapter, and a bond, insurance, or other surety as required by 46 U.S.C. A non-U.S.-based NVOCC must establish a presence in the United States by opening and maintaining an unincorporated branch office that is resident in the U.S. and is qualified by the Secretary of State office (or equivalent) in the state/territory in which the company is located. (a) Who may seek payment. (f) Compensation means payment by a common carrier to a freight forwarder for the performance of services as specified in 515.2(h). SAF/FM is composed of four directorates, or "3-Letter" organizations, each . 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. 515.16 Revocation or suspension of license. (c) Branch office means any office in the United States established by or maintained by or under the control of a licensee for the purpose of rendering intermediary services, which office is located at an address different from that of the licensee's designated home office. If applicant intends Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. No license or registration shall remain in effect unless valid proof of a financial responsibility instrument is maintained on file with the Commission. From the Qualifying Indiviuals screen . The following changes in an existing licensee's organization require prior approval of the Commission, and application for such status change or license transfer shall be made on Form FMC-18, filed with the Commission's Bureau of Certification and Licensing, and accompanied by the fee required under 515.5(c): (1) Transfer of a corporate license to another person; (2) Change in ownership of a sole proprietorship; (3) Any change in the business structure of a licensee from or to a sole proprietorship, partnership, limited liability company, or corporation, whether or not such change involves a change in ownership; (4) Any change in a licensee's name, including adding or deleting a trade name relating to its OTI services; or.

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