all questions answered or noted "N/A" within those Parts. Let us help you navigate the regulatory seas! An affiliation is deemed to exist if any person listed in NVOCC not in the US, it needs to establish a qualifying office in the US. 862. <> the partners or members. Commission staff will acknowledgereceipt andadvise if any further action is required. violation. It is not an official legal edition of the CFR. developer resources. Updated June 20, 2022. typed, no hand written submissions will be accepted. Create your signature and click Ok. Press Done. Such registered NVOCC shall be strictly responsible for the acts and omissions of its employees and agents, wherever they are located. (5) Failure to honor the licensee's financial obligations to the Commission. 515.11 Basic requirements for licensing; eligibility. 46 U.S.C. Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. The FMC will require a copy of a corporate document that proves the qualifying individual is a company officer. %PDF-1.5 40101-41309, and, if necessary, has a valid tariff published pursuant to 46 CFR part 515 and 520, and pursuant to section 19 of the Shipping Act (46 U.S.C. For example, if a reference does not confirm the qualifying individual's experience to the FMC's satisfaction, a replacement reference can be used. Identify the name 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. 515.91 OMB control number assigned pursuant to the Paperwork Reduction Act. (ii) The ocean transportation intermediary fails to respond within forty-five (45) days from the date of the notice of the claim to address the validity of the claim, and the financial responsibility provider deems the claim valid. 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. (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. at (202) 566-0011. (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. [78 FR 42887, July 18, 2013, as amended at 80 FR 68734, Nov. 5, 2015; 84 FR 62468, Nov. 15, 2019; 85 FR 9683, Feb. 20, 2020]. 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. 41301-41302, 41305-41307(a)), or any penalty assessed against the ocean transportation intermediary pursuant to section 13 of the Act (46 U.S.C. 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. 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. If you would like to comment on the current content, please use the 'Content Feedback' button below for instructions on contacting the issuing agency. The acceptance or solicitation of any other shipments is expressly prohibited until a new license has been issued. (Qualifying Individuals for NVOCCs not in the US may submit proof of ownership, etc. FEDERAL MARITIME COMMISSION . Unlike corporations, LLCs are not required by state law to track meeting minutes upon convening. 8.Second Qualifying Individual (Optional) The company has the option to qualify a second individual. (1) A disclosed agent, individual employee, or branch office of an ocean transportation intermediary is not required to be licensed in order to act on behalf of and in the name of such ocean transportation intermediary. must be attached to the Form FMC-18 with the initial application. Qualified positions include: Staff RN Medical Technologist Medical Lab Technician Surgical First Assist Paramedic If you or someone you know wants to make a difference every day, complete an application or contact our Human Resources team at 740-687-8017. <> Qualifying Individual (QI) This article has moved to our new Knowledge Center home. A record of all sums received and/or disbursed by the licensee for services rendered and out-of-pocket expenses advanced in connection with each shipment, including specific dates and amounts. firm, please identify the person/firm and explain the relationship, e.g. "Qualifying Individual-1" means a Qualified Individual who meets the Qualifying Individual-1 income and resource standards. In witness whereof we have hereunto set our hands and seals on this ____________day of ____, 20____. If you You should familiarize Just click inside the text box that you want to fill in and enter the information. There are four different types of Medicare Savings Programs, this page focuses on the Qualifying Individual (QI-1) Program. Documentation supporting the use of a trade When assessing an application to be an RFMC, LFMC or VCFM, MAS takes into account factors such as: Fitness and propriety of the applicant, its shareholders and directors. We recommend you directly contact the agency responsible for the content in question. (d) The length and nature of the qualifying individual's experience in handling ocean transportation intermediary duties. contact BCL any time during normal working hours (8:30 am - 5 pm, EST) by The Commission may contact these 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. The Guarantor's liability under this Guaranty in respect to any claimant shall not exceed the amount of the guaranty; and the aggregate amount of the Guarantor's liability under this Guaranty shall not exceed the amount per OTI set forth in 46 CFR 515.21, or the amount per group or association of OTIs set forth in 46 CFR 515.21 in aggregate. license (transferee). 5. No conference or group of common carriers shall deny in the export commerce of the United States compensation to an ocean freight forwarder or limit that compensation, as provided for by section 19(e)(4) of the Act (46 U.S.C. completed application Form (FMC-18) to the Federal Maritime Commission, Bureau (a) Qualification necessary for issuance. This bond shall inure to the benefit of any and all persons who have obtained a judgment or a settlement made pursuant to a claim under 46 CFR 515.23 for damages against the Principal arising from its transportation-related activities or order of reparation issued pursuant to section 11 of the Shipping Act (46 U.S.C. Check the boxes that apply. 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. you can't claim him or her as a dependent not a qualifying person. 41107-41109). approved. If you are transferring a (See 46 C.F.R. (a) Forms. guide. 41107-41109). [64 FR 11171, Mar. You are using an unsupported browser. 13. [80 FR 68731, Nov. 5, 2015, as amended at 85 FR 9683, Feb. 20, 2020]. - Sign the CSR request from Internal CA. If more than six (6) Show the total number of years no longer operate as a business provide dissolution papers. Whereas, the Insurance is written to assure compliance by the Insured with section 19 of the Shipping Act (46 U.S.C. The undersigned ____, as Principal and ____, as Surety do hereby agree that the existing Bond No. Enhanced content is provided to the user to provide additional context. The term beneficial interest shall not include any obligation in favor of an ocean transportation intermediary arising solely by reason of the advance of out-of-pocket expenses incurred in dispatching a shipment. The Faculty Multimedia Center (FMC) is a do-it-yourself . endobj Privacy Act and Paperwork Reduction Act Notice. (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. Generally, you can expect The fee for such supplementary investigation is MIC Freight Brokers, Inc (OFF), 8201 NW 66th Street, #6, Miami, FL 33166. (a) Compensation or fee sharing. (b) Optional bond rider. 1998 and the Coast Guard Authorization Act of 1998, and 46 C.F.R. 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. The Guarantor and/or Applicant specifically agree to file such written notice of cancellation. in the United States commerce as defined in 46 C.F.R. application, e.g. (a) This part sets forth regulations providing for the licensing and registration as ocean transportation intermediaries of persons who wish to carry on the business of providing intermediary services, including the grounds and procedures for revocation and suspension of licenses and registrations. ____ 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. 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. The Electronic Code of Federal Regulations (eCFR) is a continuously updated online version of the CFR. (e) Electronic data interchange. to share office space or is currently sharing space with another person or business in the United States in order to be approved. acceptable include experience gained overseas (import) as an ocean freight % Learn more about the eCFR, its status, and the editorial process. here. Corporations must list the name and title of each 40101-41309. 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. 1/1.1 Medicare provides four savings programs with different income and resource limits. will bring you directly to the content. Position the qualifying individual holds as a corporate officer, member, or active partner: (Attach proof of position held i.e., minutes from meeting electing the officers) 12. (f) Compensation means payment by a common carrier to a freight forwarder for the performance of services as specified in 515.2(h). This evidence of financial responsibility shall be accompanied by: in the case of a financial rating, the Guarantor's financial rating on the rating organization's letterhead or designated form; in the case of a guaranty provided by Underwriters at Lloyd's, documentation verifying membership in Lloyd's; and in the case of a guaranty provided by surplus lines insurers, documentation verifying inclusion on a current white list issued by the Non-Admitted Insurers' Information Office of the National Association of Insurance Commissioners. Non-U.S.-based NVOCCs may obtain a registration or license from the FMC. Any person serving the Secretary must also send to the ocean transportation intermediary, or group or association of ocean transportation intermediaries which provide financial coverage for the financial responsibilities of a member ocean transportation intermediary, by mail or courier service at the ocean transportation intermediary's, or group's, address published in its tariff, a copy of each document served upon the Secretary, and shall attest to that service at the time service is made upon the Secretary. (2) Prepared and processed the ocean bill of lading, dock receipt, or other similar document with respect to the shipment. The Register contains details of all mediators who hold FMCA (qualified) status, plus those who have completed approved initial training and are working towards FMCA. Only one license shall be issued to any applicant regardless of the number of names under which such applicant may be doing business, and except as otherwise provided in this part, such license is limited exclusively to use by the named licensee and shall not be transferred without prior Commission approval to another person. 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. When a licensed freight forwarder is a shipper or seller of goods in international commerce or affiliated with such an entity, the licensed freight forwarder shall have the option of: (1) Identifying itself as such and/or, where applicable, listing its affiliates on its office stationery and billing forms, or. (d) In-plant arrangements. Ocean Transportation Intermediary (OTI) Bond Form [Form 48], Ocean Transportation Intermediary (OTI) Insurance Form [Form 67], Ocean Transportation Intermediary (OTI) Guaranty Form [Form 68], Ocean Transportation Intermediary (OTI) Group Bond Form [FMC-69], Optional Rider for Additional NVOCC Financial Responsibility (Optional Rider to Form FMC-48) [FORM 48A], PART 515 - LICENSING, REGISTRATION, FINANCIAL RESPONSIBILITY REQUIREMENTS AND GENERAL DUTIES FOR OCEAN TRANSPORTATION INTERMEDIARIES, Subpart B - Eligibility and Procedure for Licensing and Registration. If the applicant is an When the licensee's or registrant's name appears on shipping documents, its Commission license or registration number shall also be included. Persons who have had their applications closed under this section may reapply at any time by submitting a new application with the required filing fee. 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. 9701; 46 U.S.C. Electronic certification must contain confirmations by the forwarder and the carrier identifying the shipments upon which forwarding compensation may be paid. The time needed to complete and file this form will vary depending on individual circumstances. (n) Person means individuals, corporations, companies, including limited liability companies, associations, firms, partnerships, societies and joint stock companies existing under or authorized by the laws of the United States or of a foreign country. 41107-41109). Contact your local broker Management Officer or the Broker Management Branch for inquiries on the change of address to: Broker Management Branch. (d) The Commission will publish at its Web site, www.fmc.gov, a list of the locations of all carrier and conference tariffs, and a list of ocean transportation intermediaries (including a separate list for NVOCCs) who have met all of their applicable licensing, registration, tariff and financial responsibility requirements, current as of the last date on which the list is updated. 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. proposing more than one qualifying individual complete Part D for each The Commission shall publish on the Commission's Web site www.fmc.gov notice of each revocation and suspension. No person may advertise or hold out to act as an OTI unless that person holds a valid OTI license or is registered under this part. The notice of revocation or suspension will provide, in detail, a statement of the facts supporting the action. The FMC does not have a formal procedure or fees for expedited processing of these applications, but timely follow-up with the FMC will help avoid delays. The common carrier shall retain such certifications for a period of five (5) years. For the purposes of this part, the term: (1) Ocean freight forwarder (OFF) means a person that -, (i) In the United States, dispatches shipments from the United States via a common carrier and books or otherwise arranges space for those shipments on behalf of shippers; and, (ii) Processes the documentation or performs related activities incident to those shipments; and. Charges for such forwarding services shall be assessed in conformance with the carrier's published tariffs. Such hearing shall be provided pursuant to the procedures contained in 515.17. A common carrier shall not pay compensation for the services described in paragraph (c) of this section more than once on the same shipment. MSPs are federal programs that are administered by Medicaid in each state. 13. 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). Subpart D - Duties and Responsibilities of Ocean Transportation Intermediaries; Reports to Commission, Subpart E - Freight Forwarding Fees and Compensation. Any unreported change may delay the processing and investigation of the application and result in rejection, closing, or denial of the application. branch office, this question must be answered in the affirmative No license will be issued until the Commission is in receipt of valid proof of financial responsibility. (2) If, within 120 days of notification of conditional approval for licensing by the Commission, proof of financial responsibility and, in the case of an NVOCC, the Form FMC-1 is not received, the conditional approval of the application will be invalid. 5 Helpful. For 2021 the maximum CDCC for a taxpayer with AGI of more than $183,000 is $1,600 for one qualifying individual ($8,000 x 20%) and $3,200 for two or more qualifying individuals ($16,000 x 20%). OTIs. LLC meeting minutes keep a written record of all consequential discussions, votes, and actions that occurred throughout a limited liability company (LLC) meeting. The Guarantor hereby designates as the Guarantor's legal agent for service of process domiciled in the United States ____, with offices located in the United States at ____, for the purposes of enforcing the Guaranty described herein. contact the publishing agency. 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. Any change in the facts 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. a minimum of three years experience in the ocean transportation intermediary Maria A. Garcia, Secretary. 2021. 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). and the number of branch offices indicated. 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. 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). The eCFR is displayed with paragraphs split and indented to follow Post office APPLICATIONS REQUIRE THE COMPLETION OF PARTS A AND G. Other Parts of the FMC-18 49 CFR 172.101 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. 10. 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.