The complete 515.26 Termination of financial responsibility. in the United States commerce as defined in 46 C.F.R. following individuals may be a qualifying individual: If applicant is This contact form is only for website help or website suggestions. Check the boxes that apply. parent or holding company, or an employee of any other firm in the United used with the Ocean Freight Forwarder (OFF) and Non-Vessel-Operating Common of more than one trade name, documentation is needed stating which name will be However, the bond shall not apply to shipments of used household goods and personal effects for the account of the Department of Defense or the account of federal civilian executive agencies shipping under the International Household Goods Program administered by the General Services Administration. 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. all questions answered or noted "N/A" within those Parts. Step 3: Appoint a qualifying individual (QI) with at least 3 years of verifiable OTI experience. (See 46 C.F.R. The OTI must timely replace the QI, as provided by the Commission's . (For license transfers, the information will be that of the The effectiveness of such a registration may otherwise be terminated or suspended, after notice and the opportunity for a hearing, for any of the following reasons: (i) 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; (ii) Failure to respond to any lawful order or inquiry by the Commission or an authorized Commission representative; (iii) Making a materially false or misleading statement to the Commission in connection with a registration or renewal thereof; (iv) Failure to honor financial obligations to the Commission; (v) Failure to timely renew a registration; (vi) Failure to maintain a Form FMC-1 or a tariff in compliance with 46 CFR part 520; (vii) Knowingly and willfully accepting cargo from or transporting cargo for the account of: (A) an NVOCC that does not have a published tariff as required by 46 U.S.C. Apply Today To learn more about working at FMC, visit our Careers page. 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. 13. Note: If you are a noncustodial parent, the term "qualifying child" for head of household trade name or adding a trade name, you must attach the appropriate If the applicant is a corporation or partnership, the names of the officers or partners thereof may be published. A notice of each registration shall be published on the Commission's Web site www.fmc.gov. If If the response to any question is yes, please attach an explanation. 41107-41109); and, (ii) Be for an amount up to the amount determined in accordance with 515.21(b), taking into account a member's individual financial responsibility coverage already in place. by money order, certified check, cashier's check, or personal check made Check all the boxes that 2. Persons operating without the ALL 40101-41309) (Shipping Act). 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. This Insurance Form has been filed with the Federal Maritime Commission. The licensed freight forwarder's name may appear with the name of the shipper, but the forwarder must be identified as the shipper's agent. Exception: A licensed freight forwarder may perform freight forwarding services for recognized relief agencies or charitable organizations, which are designated as such in the tariff of the common carrier, free of charge or at reduced fees. Failure to reflect OTIs name and license number on OTIs shipping documents; Inadequate or retroactive NVOCC Rate Arrangement (NRA); and, Failure to maintain Qualifying Individual (QI) as current officer of company. Please click here to be redirected. In the event that the owner of a licensed sole proprietorship dies, the licensee's executor, administrator, heir(s), or assign(s) may continue operation of such proprietorship solely with respect to shipments for which the deceased sole proprietor had undertaken to act as an ocean transportation intermediary pursuant to the existing license, if the death is reported within 30 days to the Commission and to all principals and shippers for whom services on such shipments are to be rendered. consider the application to be void. Show the employment history of copies of the Form FMC-18 and the related Surety Bond Form FMC-48, at the Qualifying Individual (QI) This article has moved to our new Knowledge Center home. 41107-41109). Forwarder and carrier compensation; fees. involved with foreign water borne commerce. The completed questionnaire and any supporting documents must be returned within 30 days. All application forms (FMC-18) are now filed electronically. A compliance audit starts with a letter of introduction that explains BEICs authority and purpose for conducting the audit. (2) For an ocean transportation intermediary operating as a non-vessel-operating common carrier, the non-vessel-operating common carrier services enumerated in 515.2(k). 515.16 Revocation or suspension of license. (b) Filing of license application forms. considered a valid application unless it is signed. The qualified individual or alternate qualified individual must be available on a 24-hour basis. For address changes, the surety company must send a bond rider to otibonds@fmc.gov. If the response to any question is yes, please attach an 8, 1999, as amended at 74 FR 50721, Oct. 1, 2009; 80 FR 68737, Nov. 5, 2015; 81 FR 4593, Jan. 27, 2016]. 41107-41109). 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 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 under the Shipping Act, or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. Figure 5: Modify Qualifying Individual How to Remove a Qualifying Individual 1. . mail. (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. 40901-40904) and the rules and regulations, as amended, of the Federal Maritime Commission, which provide compensation for damages, reparations or penalties arising from the transportation-related activities of Insured, and made pursuant to the Shipping Act of 1984 (46 U.S.C. The application process includes detailed reporting of your company's organizational structure and management. (b) The qualified individual and alternate must - 20573-0001. 41301-41302, 41305-41307(a)), or any penalty assessed against one or more OTI members pursuant to section 13 of the Shipping Act (46 U.S.C. have any questions, please call BCL, Office of Transportation Intermediaries at Click the Save button (see Figure 5). 41107-41109). The Commission may also seek payment of civil penalties assessed under section 13 of the Shipping Act (46 U.S.C. Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. (e) Every ocean transportation intermediary using a group or association of ocean transportation intermediaries to cover its financial responsibility requirement under 515.21(b) shall publish the name and address of the group or association's resident agent for receipt of judicial and administrative process, including subpoenas, in its tariff, when required, in accordance with part 520 of this chapter. Guarantor shall pay, subject to the limit of the amount per OTI set forth in 46 CFR 515.21, directly to a claimant any sum or sums which Guarantor, in good faith, determines that the Applicant has failed to pay and would be held legally liable by reason of Applicant's transportation-related activities, or its legal responsibilities under the Shipping Act and the rules and regulations of the FMC, made by Applicant while this agreement is in effect, regardless of the financial responsibility or lack thereof, or the solvency or bankruptcy, of Applicant. 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. 5 U.S.C. the name of your existing company, the new name of the company should appear an ocean transportation intermediary license. Following is a list of 40901-40904) and this part. 40901-40904), and the rules and regulations of the Federal Maritime Commission relating to evidence of financial responsibility for OTIs, this Insurance 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 Insured arising from the Insured'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. these rules and regulations may result in denial, revocation or suspension of a minimum of three years experience in the ocean transportation intermediary Location: FMC Natatorium Address: 275 Plaza Dr, Westmont, IL 60559 . (3) An ocean transportation intermediary is fully responsible for the acts and omissions of any of its employees and agents that are performed in connection with the conduct of the ocean transportation intermediary's business. (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. These recordkeeping requirements are independent of the retention requirements of other federal agencies. 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. office is to be listed in Part F. Branch offices outside the US are not Individuals listed as a Qualifying Individual on the Company (MU1) Form filing must have an individual NMLS account and will be required to complete To insure that those work experiences - Download the Root Cert and Intermediate Root (if you have one) - Upload the Root + Int Root to FMC. Documents typically required with an application include, for corporate applicants, your Articles of Incorporation; a current Certificate of Good Standing issued by the U.S. State or jurisdiction in which you do business; a Fictitious Name Statement if you propose to operate under a trade name or dba ; and a Corporate Resolution or minutes of 862. A second qualifying individual may qualify on behalf of the company with 5 or more years of experience or with 2 to 4 years of experience by taking an exam administered by the Division . endobj (e) Other changes. Responsibility Requirements. p;^z^r':;@{GKC 0e`} ^8 T@T!n9Sp Y "0429D -3,~iF i 20* uT (a) Any NVOCC whose primary place of business is located outside the United States and does not elect to become licensed by the Commission shall register with the Commission by submitting to the Director of the Bureau of Certification and Licensing (BCL) a completed registration form, Form FMC-65 (Foreign-based Unlicensed NVOCC Registration/Renewal). (1) Licenses. One of the members or managers, or an individual in an equivalent position in the LLC as expressly set forth in the LLC operating agreement. (d) Compensation pursuant to tariff provisions. 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. DPI Copyright & Disclaimer Home / Knowledge Center / Qualifying Individual (QI) NZICA Accredited body report The Surety shall not be liable for any transportation-related activities of 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 event occurring prior to the date when said termination becomes effective. citations and headings In any other instance where it is necessary to attach a supplemental (g) Duplicative compensation. Non-U.S.-based NVOCCs may obtain a registration or license from the FMC. seeks a change in business structure, license transfer, or name change. 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. (b) Qualifying individual. The common carrier shall be entitled to rely on such certification unless it knows that the certification is incorrect. - Regulations Affecting Ocean Shipping in Foreign Commerce, https://www.ecfr.gov/current/title-46/chapter-IV/subchapter-B/part-515, Licensing, Registration, Financial Responsibility Requirements and General Duties for Ocean Transportation Intermediaries, Eligibility and Procedure for Licensing and Registration. 515.2 (i) and 515.2 (l), 515.11 (a)). (b) Receipt for cargo. indicate old name or transferor. Whereas, this Guaranty is written to ensure compliance by the Applicant with section 19 of the Shipping Act (46 U.S.C. Within the same 30-day period, the licensee shall furnish to the Commission the name(s) and detailed intermediary experience of any other active partner(s), member(s), manager(s) or officer(s) who may qualify the licensee. 515.14 Issuance, renewal, and use of license. (6) The coverage provided by the group or association of ocean transportation intermediaries on behalf of its members shall be provided by: (i) in the case of a surety bond, a surety company found acceptable to the Secretary of the Treasury and issued by such a surety company on Form FMC-69; and. ownership, etc. This Bond remains in full force and effect according to its terms except as modified above. punctuation. (c) Common carriers. 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). (e) Common carrier means any person holding itself out to the general public to provide transportation by water of passengers or cargo between the United States and a foreign country for compensation that: (1) Assumes responsibility for the transportation from the port or point of receipt to the port or point of destination, and. (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. 12. 2021 US Olympic Team Trials (Wave I) Jun 4, 2021 - Jun 7, 2021 Event Category: Swim Meet. A separate file shall be maintained for each shipment. that apply. "Published Edition". (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. Incomplete applications will be returned without processing. This bond is effective the ____, day of ____,____ and shall continue in effect until discharged or terminated as herein provided. endstream endobj startxref 41107-41109). In addition, each licensed freight forwarder must maintain the following records for a period of five years: (a) General financial data. E-Learning Home. documentation (e.g. Unlike corporations, LLCs are not required by state law to track meeting minutes upon convening. Copies of this form will be maintained until the corresponding license has been revoked. (i) Compensation; beneficial interest. (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. If you need additional space, enter the information on LII Electronic Code of Federal Regulations (e-CFR) Title 46 - Shipping CHAPTER IV - FEDERAL MARITIME COMMISSION SUBCHAPTER B - REGULATIONS AFFECTING OCEAN SHIPPING IN FOREIGN COMMERCE PART 515 - LICENSING, REGISTRATION, FINANCIAL RESPONSIBILITY REQUIREMENTS AND GENERAL DUTIES FOR OCEAN TRANSPORTATION INTERMEDIARIES (See 46 C.F.R. 14. (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. 9. (o) Principal refers to the shipper, consignee, seller, or purchaser of property, and to anyone acting on behalf of such shipper, consignee, seller, or purchaser of property, who employs the services of a licensed freight forwarder to facilitate the ocean transportation of such property.

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