fmc qualifying individualfmc qualifying individual

members of large organization or are affiliated with international 1240 0 obj <>stream proper license may be subject to civil penalties not to exceed $6,000 for each The collection of this information is authorized generally by Section 19 of the Shipping Act of 1984 (46 U.S.C. (1) If a person does not file a complaint with the Commission pursuant to section 11 of the Shipping Act (46 U.S.C. 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 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. that apply. fill out this section. 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. State if all or part of the company is being hb```^!b`f`sL``p`Hadw5Sl;`}5A55itFN)as_,;#n 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. (h) Non-vessel-operating common carriers; compensation. 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. It is not an official legal edition of the CFR. At least one of the active managing partners, unless the partners are entities, such as corporations, in which case an officer, member, or manager of one of the entities as long as the entity is a general partner. 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. (b) A common carrier can obtain proof of an NVOCC or OFF's compliance with the OTI licensing, registration, tariff and financial responsibility requirements by: (1) Consulting the Commission's website www.fmc.gov as provided in paragraph (d) of this section, to verify that the NVOCC or OFF has complied with the applicable licensing, registration, tariff, and financial responsibility requirements; or. (3) Any registered NVOCC, as defined in 515.2(r), shall furnish evidence of financial responsibility in the amount of $150,000. [515.19(f) &515.20] These changes should be sent tooti@fmc.gov. 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. 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. 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. 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. FMC Regulations & Statutes - Federal Maritime Commission If the response to any question is yes, please attach an 8, 1999, as amended at 74 FR 50719, Oct. 1, 2009; 80 FR 68730, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. 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. (a) Notice of shipper affiliation. (3) Though the foregoing license renewal process is not intended to result in a re-evaluation of a licensee's character, the Commission may review a licensee's character at any time, including at the time of renewal, based upon information received from the licensee or other sources. If this is an initial application for a license, the change (c) Receipts and disbursements by shipment. is complete and our investigation does not reveal any circumstances that would Understanding the Medicare Qualified Individual (QI) program (f) Errors and omissions of the principal or shipper. Licensing, 800 North Capitol Street N.W., Washington, D.C. 20573-0001. 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. The Register allows members of the public to search for mediators. Compliance Programs - Federal Maritime Commission (a) No common carrier may knowingly and willfully accept cargo from or transport cargo for the account of: (1) An NVOCC that does not have a published tariff as required by 46 U.S.C. Additional Qualifying Individual [ ] Replacement Qualifying Individual [ ](Name of individual being replaced: ) 11. 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. 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. For corporations, an Amended Articles of Apply Today To learn more about working at FMC, visit our Careers page. receipt of the proof of financial responsibility, the Commission will, at its and continue entering the information. The liability of the Surety shall not be discharged by any payment or succession of payments pursuant to section 1 of this Rider, unless and until the payment or payments shall aggregate the amount set forth in section 1a of this Rider. "Reasonably compatible" means that there is no significant discrepancy between information declared by a member or applicant and other information available to the agency. Any change in the facts (e) Changes in fact. The insurance must be placed with: (1) An Insurer 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; (3) Surplus lines insurers named on a current white list issued by the Non-Admitted Insurers' Information Office of the National Association of Insurance Commissioners; or. The licensee may continue to operate as an ocean transportation intermediary during the pendency of the Commission's approval process. following individuals may be a qualifying individual: If applicant is The qualified individual must: (1) assess the child's needs and strengths, using an age-appropriate, evidence-based, validated, functional assessment approved by the commissioner of human services; (2) determine whether the child's needs can be met by the child's family members or through placement in a family foster home; or, if not, determine . Provide an Figure 5: Modify Qualifying Individual How to Remove a Qualifying Individual 1. execution. Write your awesome label here. This contact form is only for website help or website suggestions. user convenience only and is not intended to alter agency intent 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. 41107-41109), that are not covered by the identified OTIs' individual insurance policy(ies), guaranty(ies) or surety bond(s). This benefit was federally funded and set to expire at the end of 2010, but President Obama signed a . 1/1.1 A "Certificate of Good Standing", issued within 6 months from the Join Our Team If the transferor will This bond is effective the ____, day of ____,____ and shall continue in effect until discharged or terminated as herein provided. V6Z 2G3 If your application and fees are accepted, you will be issued an FMC and client number. This content is from the eCFR and may include recent changes applied to the CFR. You may of Page 10 pertaining to the distribution or possession of a controlled [80 FR 68734, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. in the group's annual report. No OTI shall endorse or negotiate any draft, check, or warrant drawn to the order of its OTI principal or shipper without the express written authority of such OTI principal or shipper. 42301 - 42307 515.19 Registration of foreign-based unlicensed NVOCC. legal name of the applicant must be shown in this section. (a) Licensees and registrants; names and numbers. 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). (c) Affiliates of intermediaries. The Surety consents to be sued directly in respect of any bona fide claim owed by any or all of the OTIs identified in Appendix A for damages, reparations or penalties arising from the transportation-related activities under the Shipping Act of the OTIs in the event that such legal liability has not been discharged by the OTIs or Surety after a claimant has obtained a final judgment (after appeal, if any) against the OTIs from a United States Federal or State Court of competent jurisdiction and has complied with the procedures for collecting on such a judgment pursuant to 46 CFR 515.23, the Federal Maritime Commission, or where all parties and claimants otherwise mutually consent, from a foreign court, or where such claimant has become entitled to payment of a specified sum by virtue of a compromise settlement agreement made with the OTI(s) and/or Surety pursuant to 46 CFR 515.23, whereby, upon payment of the agreed sum, the Surety is to be fully, irrevocably and unconditionally discharged from all further liability to such claimant(s). 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. This evidence of financial responsibility shall be accompanied by: in the case of a financial rating, the Insurer's financial rating on the rating organization's letterhead or designated form; in the case of insurance provided by Underwriters at Lloyd's, documentation verifying membership in Lloyd's; and in the case of insurance 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. Failure to follow the provisions of this part may result in denial, revocation or suspension of an ocean transportation intermediary license or registration. Responsibility Requirements. Length of qualifying ocean transportation . (b) A registration form which appears, upon submission, to be substantially incomplete may be rejected. existence for more than one year. application to make certain that all applicable parts have been completed and More specific policies and procedures for . Federal Register :: In the Matter of a Single Individual Qualifying Individual (QI) - Distribution-Publications, Inc. Individual Retirement Accounts - MFS Where more than one person operates under a common trade name, separate proof of financial responsibility is required covering each corporation or person separately providing ocean transportation intermediary services. Organization and Purpose NZICA Accredited body report appropriate box that applies to the applicant. For an LLC, the names of the managers, members or officers, as applicable, may be published. If you This Insurance Form has been filed with the Federal Maritime Commission. 46 U.S.C. Why your NVOCC should be FMC-licensed - iContainers (d) Registrations shall be effective for a period of three (3) years. The time needed to complete and file this form will vary depending on individual circumstances. 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. The initial renewal of an OTI license can take place no sooner than one-year and no later than four-years from issuance. 8, 1999, unless otherwise noted. (2) An OFF that does not have a bond, insurance, or other surety as required by 46 U.S.C. Sole proprietors should also complete the Certification at the top b`Y0}/yfD55J{\M:yCLl`(gY<3! G3r8y4(# yKoKjQ8q)J`i[r#@ 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. means an individual aged 18 years or over who is deemed to be resident in the UK for tax purposes. Generally, you can expect U.S. Department of Transportation Federal Aviation Administration 800 Independence Avenue, SW Washington, DC 20591 1-866-TELL-FAA (1-866-835-5322) 8, 1999, as amended at 78 FR 42888, July 18, 2013], (a) Filing of proof of financial responsibility -. 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 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. name must be submitted with an initial application or where the application Duties and Responsibilities of Ocean Transportation Intermediaries; Reports to Commission. Amend Title and/or Business Address. Payment under this Rider shall not reduce the bond amount in the first paragraph of this Bond or affect its availability. export shipper, steamship agent, air freight 10/2007) II . 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. (For license transfers, the information will be that of the or fax at (202) 566-0011. The section also explains the General Duties for proof of financial responsibility in the form and amount prescribed in 46 A license number should be provided only by those persons who are already HSA vs. 401 (K) Both accounts let you make pre-tax contributions and grow tax-free earnings. have any questions, please call BCL, Office of Transportation Intermediaries at 553; 31 U.S.C. The name and license or registration number of each OTI shall be permanently imprinted on the licensee's or registrant's office stationery and billing forms. (13) Giving expert advice to exporters concerning letters of credit, other documents, licenses or inspections, or on problems germane to the cargoes' dispatch. Welcome to the Form FMC-18 Automated Filing System! Registration of foreign-based unlicensed NVOCC. Medicare Savings Program - Qualifying Individual (QI-1) Program - Colorado 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. 8. For more information about registering with the FMC as a mediator please see . proposing more than one qualifying individual complete Part D for each of more than one trade name, documentation is needed stating which name will be ____, 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. (a) Compensation or fee sharing. Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. 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. The Guarantor's liability under this Guaranty shall attach only in respect of such activities giving rise to a cause of action against the Applicant, in respect of any of its transportation-related activities under the Shipping Act, occurring after the Guaranty has become effective, and before the expiration date of this Guaranty, which shall be the date thirty (30) days after the date of receipt of mail or email (bcl@fmc.gov) written notice to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, that either Applicant or the Guarantor has elected to terminate this Guaranty. Identify three persons, (d) Common carrier. 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. Such registered NVOCC shall be strictly responsible for the acts and omissions of its employees and agents, wherever they are located. Everest Transportation Systems, LLC . 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. Show the total number of years The FMC will require a copy of a corporate document that proves the qualifying individual is a company officer. It should be noted that fees will not be returned in any Hearing procedures governing denial, revocation, or suspension of OTI license. Fund Management Licensing and Registration - Monetary Authority Of 862. (c) Common carriers. The Form The effective date of this undertaking shall be ____ day of ____, ____, and shall continue in effect until discharged or terminated as herein provided. (c) Failure to provide necessary information and documents. 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. 41107-41109). 14. L. 105-383, 112 Stat. (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. 0 Federal Maritime Commission All application forms (FMC-18) are now filed electronically. (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. FMC Issues Proposed Rule Changes Covering OTI Licensure and - Hklaw The experts in U.S. Federal Maritime regulations since 1975. 64 FR 11171, Mar. branch office, this question must be answered in the affirmative Upon receipt of notice of termination of such financial responsibility, the Commission shall notify the concerned licensee, registrant, or registrant's legal agent in the United States, by email, mail, courier, or other method reasonably calculated to provide actual notice, at its last known email address or address, that the Commission shall, without hearing or other proceeding, revoke the license or terminate the registration as of the termination date of the financial responsibility instrument, unless the licensee or registrant shall have submitted valid replacement proof of financial responsibility before such termination date. Check the boxes that apply. 3. electing the qualifying individual or the partnership agreement. 3. The applicant must obtain 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. (a) Disclosure of principal. 515.11 Basic requirements for licensing; eligibility. The QI must have no less than three years of experience processing freight shipments in the U.S. ocean trade lane. (c) Reduced forwarding fees. (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. Part B, Question No. Claims against an ocean transportation intermediary. trade name or adding a trade name, you must attach the appropriate licensed. 3411; 21 U.S.C. It is important that a current email address is maintained on file with the Commission. at (202) 566-0011. 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. 40101-41309) (Shipping Act). PRIVACY ACT AND PAPERWORK REDUCTION ACT NOTICE . date of application, is also needed for any corporation that has been in OMB control number assigned pursuant to the Paperwork Reduction Act. The valid control number for this collection of information is 3072-0018. 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. OTIs. The Insurer must certify that it has sufficient and acceptable assets located in the United States to cover all damages arising from the transportation-related activities of the insured ocean transportation intermediary as specified under the Act. indicate old name or transferor. Officers: Luis A. Marquez, President, (Qualifying Individual).
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