fmc qualifying individual

An entity that also provides OTI services in its own name and not on behalf of a licensed or registered OTI must be separately licensed under this part and must provide proof of its own financial responsibility and publish a tariff, if applicable. 515.2(i) and (l) of the 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. If the transferor will This content is from the eCFR and may include recent changes applied to the CFR. Replacement financial responsibility must bear an effective date no later than the termination date of the expiring financial responsibility instrument. 515.2 (i) and 515.2 (l), 515.11 (a)). This document is available in the following developer friendly formats: Information and documentation can be found in our (13) Giving expert advice to exporters concerning letters of credit, other documents, licenses or inspections, or on problems germane to the cargoes' dispatch. 515.22 Proof of financial responsibility. 862. The eCFR is displayed with paragraphs split and indented to follow The Surety consents to be sued directly in respect of any bona fide claim owed by Principal for damages, reparations or penalties arising from the transportation-related activities under the Shipping Act of Principal in the event that such legal liability has not been discharged by the Principal or Surety after a claimant has obtained a final judgment (after appeal, if any) against the Principal 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 Principal 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; provided, however, that Surety's total obligation hereunder shall not exceed the amount set forth in 46 CFR 515.21, as applicable. If this is an trade name or adding a trade name, you must attach the appropriate (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. At least one of the active corporate officers. Failure to comply with Part 515 of 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. 17. This Bond remains in full force and effect according to its terms except as modified above. A document supporting the legal business name (See 46 C.F.R. (d) Acquisition of one or more additional licensees. 8, 1999, as amended at 80 FR 68733, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. 4 0 obj The fee for such supplementary investigation is 64 FR 11171, Mar. (2) Prepared and processed the ocean bill of lading, dock receipt, or other similar document with respect to the shipment. (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. attached to the Form FMC-18. mail. will also bring you to search results. (d) Invoices; documents available upon request. preclude licensing. Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. Persons operating without the The compliance audit also may include review of entities holding themselves out as vessel-operating common carriers (VOCCs) where Commission staff can find no indication of current vessel operations. 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. How to Amend the Title/Business Address for an Existing Qualifying Individual 1. is also required for applications seeking approval of a change in business (202) 523-5843 before filing your application. include the title of the individual signing the application and the date of 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. Documentation DPI Copyright & Disclaimer Home / Knowledge Center / Qualifying Individual (QI) 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. or fax at (202) 566-0011. 41107-41109). If the applicant is a corporation or partnership, the names of the officers or partners thereof may be published. View the most recent official publication: These links go to the official, published CFR, which is updated annually. The notice of revocation or suspension will provide, in detail, a statement of the facts supporting the action. date of application, is also needed for any corporation that has been in The QI must meet those requirements at the time a license is issued and must thereafter maintain the necessary character. (b) Certification required for compensation. HSA vs. 401 (K) Both accounts let you make pre-tax contributions and grow tax-free earnings. 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. The liability of the Surety shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall aggregate the penalty of this bond, and in no event shall the Surety's total obligation hereunder exceed the amount per member OTI set forth in 46 CFR 515.21, identified in Appendix A, or the amount per group or association of OTIs set forth in 46 CFR 515.21, regardless of the number of OTIs, claims or claimants. sheet, please label the supplemental response to match the item number on the If you are transferring a If applicant intends 1221 0 obj <>/Filter/FlateDecode/ID[<771312062B97CA4C8DD3E39D25FD9618>]/Index[1208 33]/Info 1207 0 R/Length 83/Prev 603469/Root 1209 0 R/Size 1241/Type/XRef/W[1 3 1]>>stream U.S. Customs and Border Protection. These rules and regulations are contained in section 19 substance. 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. 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. 40901-40904). (ii) Applications or registrations shall be rejected unless the applicable fee and any bank charges assessed against the Commission are received by the Commission within ten (10) business days after submission of the application or registration. MIC Freight Brokers, Inc (OFF), 8201 NW 66th Street, #6, Miami, FL 33166. 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. U.S. Department of Transportation Federal Aviation Administration 800 Independence Avenue, SW Washington, DC 20591 1-866-TELL-FAA (1-866-835-5322) Tariq I. Belion, Qualifying Individual (QI) Easha Belion, President Application Type: New NVO & OFF License. result, it may not include the most recent changes applied to the CFR. Many of our PDF forms and applications can be completed online. (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. 40904(d)) and 46 CFR part 535. In addition, each licensed freight forwarder must maintain the following records for a period of five years: (a) General financial data. The Faculty Multimedia Center (FMC) is a do-it-yourself . explanation of the business practices of both companies. boxes are not acceptable as a business address, but may be used for receipt of 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 qualification of the applicant. Submit electronically or print out and complete Form FMC-18: Application for a License as an Ocean Transportation Intermediary. [64 FR 11171, Mar. 2. contained in the Form FMC-18 must be reported to the Commission within 30 days He or she need not be a shareholder of the company, but must be an officer and a full-time employee. 19. - Upload the signed certificate. The complete applications. Q-5000, Qualifying Individuals (QIs) Printer-friendly version. Cargo Modules LLC (NVO & OFF) 2510 West 237th Street, Suite 106 Torrance, CA 90505 Officers: Reto D. Kaufmann, Director of LAX, FMC License QI (QI) Maurin M. Semsch, Member Application Type: QI Change. Persons operating without the proper license or registration may be subject to civil penalties not to exceed $9,000 for each such violation, unless the violation is willfully and knowingly committed, in which case the amount of the civil penalty may not exceed $45,000 for each violation; for other violations of the provisions of this part, the civil penalties range from $9,000 to $45,000 for each violation (46 U.S.C. 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. Medicare provides four savings programs with different income and resource limits. The initial renewal of an OTI license can take place no sooner than one-year and no later than four-years from issuance. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. If you answered in the affirmative, (f) Compensation; services performed by underlying carrier; exemptions. (1) Licenses. If you work for a Federal agency, use this drafting 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. From the Qualifying Individuals screen, click the Edit icon. 20. Thereafter, licenses will be renewed for sequential three-year periods upon successful completion of the renewal process in paragraph (d) of this section. parent or holding company, or an employee of any other firm in the United (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). at (202) 566-0011. (Qualifying Individuals for NVOCCs not in the US may submit proof of The Principal or the Surety may at any time terminate this bond by mail or email (bcl@fmc.gov) written notice to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. Each group or association of ocean transportation intermediaries shall be responsible for requiring each member ocean transportation intermediary to provide it with valid proof of financial responsibility annually; (5) Where the group or association of ocean transportation intermediaries determines to secure on behalf of its members other forms of financial responsibility, as specified by this section, for damages, reparations or penalties not covered by a member's individual financial responsibility coverage, such additional coverage must: (i) Allow claims to be made in the United States directly against the group or association's Surety, Insurer or Guarantor for damages against each covered member ocean transportation intermediary arising from each covered member ocean transportation intermediary's transportation-related activities under the Act, or order for reparations issued pursuant to section 11 of the Act (46 U.S.C. commerce. US In any instance where an application has been processed in whole or in part, the fee will not be refunded. If rejected, a notice, together with the reasons therefore, shall be sent to the foreign-based unlicensed NVOCC. (d) Arrangements with ocean transportation intermediaries whose licenses have been revoked. receipt of the proof of financial responsibility, the Commission will, at its 41301-41302, 41305-41307(a)), or any penalty assessed against the Insured pursuant to section 13 of the Shipping Act (46 U.S.C. (f) Compensation means payment by a common carrier to a freight forwarder for the performance of services as specified in 515.2(h). Whereas ____ (Name of Applicant [indicate whether NVOCC or Freight Forwarder]) (hereinafter Applicant) is or may become an Ocean Transportation Intermediary (OTI) subject to the Shipping Act of 1984 (46 U.S.C. State if all or part of the company is being 9. L. 105-383, 112 Stat. hb```^!b`f`sL``p`Hadw5Sl;`}5A55itFN)as_,;#n forwarder, NVOCC, etc. 41107-41109). The qualifying individual must have 41107-41109). A qualifying individual must have at least three years of demonstrable OTI experience in the U.S. trades that can be confirmed by the FMC and, be an officer of the company. The Commission will issue a license only in the name of the applicant, whether the applicant is a sole proprietorship, a partnership, a corporation, or limited liability company. (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. (e) All forms and documents for establishing financial responsibility of ocean transportation intermediaries prescribed in this section shall be submitted to the Director, Bureau of Certification and Licensing, via email to bcl@fmc.gov. Location: Omaha, Nebraska Details: Click Here for complete meet details on the USA Swimming website. In the event of a claim against a group bond, the bond must be replenished up to the original amount of coverage within 30 days of payment of the claim; and, (iii) be in excess of a member's individual financial responsibility coverage already in place; and. must match exactly the legal name of the applicant including abbreviations and . 2 The term "qualifying child" is covered in Tab C, Dependents. 16. of Certification and Licensing, 800 North Capitol Street N.W., Washington, D.C. [80 FR 68735, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. Check the boxes that apply. 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. Carrier (NVOCC) licenses. completed. (Please type name of signer under each signature. 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. Such person shall not receive compensation from the common carrier for any services rendered in connection with such shipments. Principal's Agent for Service of Process (Required if Principal is not a U.S. Payment under this Rider shall not reduce the bond amount in the first paragraph of this Bond or affect its availability. 515.91 OMB control number assigned pursuant to the Paperwork Reduction Act. 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. 6, 2004; 80 FR 68735, Nov. 5, 2015; 85 FR 9683, Feb. 20, 2020]. 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. 8, 1999, as amended at 67 FR 39860, June 11, 2002; 74 FR 50719, Oct. 1, 2009; 84 FR 62468, Nov. 15, 2019]. Click the Save button (see Figure 5). discretion, undertake a supplementary investigation to determine the continued The Guarantor and/or Applicant specifically agree to file such written notice of cancellation. 8, 1999, unless otherwise noted. 40902 and this part; and. Such hearing shall be provided pursuant to the procedures contained in 515.17. Each file shall include a copy of each document prepared, processed, or obtained by the licensee, including each invoice for any service arranged by the licensee and performed by others, with respect to such shipment. Identify any person In the event of deletions to Appendix A, termination of coverage for such OTI(s) shall become effective 30 days after receipt of written notice by the Commission. (c) Form of certification. (b) Stationery and billing forms. ____ to the United States of America and filed with the Federal Maritime Commission pursuant to section 19 of the Shipping Act of 1984 is modified as follows: 1. or open up a Replacement or additional qualifying individual. (c) Reduced forwarding fees. (e) Optional bond riders. [80 FR 68736, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. The following individuals must qualify the applicant for a license: (1) Sole proprietorship. 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. (2) An individual who is applying for a license as a sole proprietor must complete the following certification: I, ____ (Name)____, certify under penalty of perjury under the laws of the United States, that I have not been convicted, after September 1, 1989, of any Federal or state offense involving the distribution or possession of a controlled substance, or that if I have been so convicted, I am not ineligible to receive Federal benefits, either by court order or operation of law, pursuant to 21 U.S.C. 40901-40904) and this part. The undersigned ____, as Principal and ____, as Surety do hereby agree that the existing Bond No. Following is a list of [515.19(f) &515.20] These changes should be sent tooti@fmc.gov. More specific policies and procedures for . The application must Upon notification by the Commission that an applicant has been conditionally approved for licensing, the applicant shall file with the Director of the Commission's Bureau of Certification and Licensing, proof of financial responsibility in the form and amount prescribed in 515.21. 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. (c) Notices of court and other claims against OTIs by financial responsibility providers. If you have comments or suggestions on how to improve the www.ecfr.gov website or have questions about using www.ecfr.gov, please choose the 'Website Feedback' button below. (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). Foreign-based Unlicensed NVOCC Registration/Renewal Form FMC-65 and financial responsibility Forms FMC-48, FMC-67, FMC-68, FMC-69 may be obtained from the Commission's website at www.fmc.gov, from the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, or from any of the Commission's Area Representatives. In accordance with that Act, agencies are required to display a currently valid control number. In this case, BEIC will follow-up with the OTI in an attempt to resolve any non-compliant aspects of the OTIs operations. 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 (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. application to make certain that all applicable parts have been completed and (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. Jeannie Knudson. (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. (i) Compensation; beneficial interest. 40902 and this part. (b) Group financial responsibility. 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.

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