If you are changing your Failure to submit this form will in no way impact the Federal Maritime Commission's assessment of your firm's financial responsibility. Registrants may request a hearing for terminations or suspensions of the effectiveness of their registrations following the same procedures set forth in 515.17 (governing hearing requests for denials, revocations and suspensions of licenses). You may (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. Now, therefore, the conditions of this obligation are that the penalty amount of this bond shall be available to pay any judgment obtained or any settlement made pursuant to a claim under 46 CFR 515.23 against the OTIs enumerated in Appendix A of this bond for damages arising from any or all of the identified OTIs' transportation-related activities under the Shipping Act (46 U.S.C. If and the number of branch offices indicated. Whereas, Principal operates as an OTI in the waterborne foreign commerce of the United States in accordance with the Shipping Act of 1984, 46 U.S.C. 8. needed to respond to Parts B, D, or E, please photocopy the appropriate page 9. The QI must meet those requirements at the time a license is issued and must thereafter maintain the necessary character. The licensee may continue to operate as an ocean transportation intermediary while the Commission investigates the qualifications of the newly designated partner, member, manager, or officer. to receive notification that your application has been processed and a decision When a claimant seeks payment under this section, it simultaneously shall notify both the financial responsibility provider and the ocean transportation intermediary of the claim by mail or courier service. U.S.-based companies or sole proprietors operating as Ocean Freight Forwarders (OFF) or Non-Vessel-Operating Common Carriers (NVOCCs) are required to obtain a license from the FMC. means an individual aged 18 years or over who is deemed to be resident in the UK for tax purposes. Responsibility Requirements. For an LLC, the names of the managers, members or officers, as applicable, may be published. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; (b) Filing of license application forms. No licensed freight forwarder, or employee thereof, shall accept compensation from a common carrier which is different from that specifically provided for in the carrier's effective tariff(s). (c) Failure to provide necessary information and documents. To receive the program benefits,. 515.91 OMB control number assigned pursuant to the Paperwork Reduction Act. (c) Information provided to the principal. 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. The qualified individual or alternate qualified individual must be available on a 24-hour basis. No licensed freight forwarder shall render, or offer to render, any freight forwarding service free of charge or at a reduced fee in consideration of receiving compensation from a common carrier or for any other reason. to share office space or is currently sharing space with another person or From the Qualifying Indiviuals screen . Identify all US branch offices 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. Form FMC-65 must be filed by a non-U.S.-based-registered NVOCC if any information reported on the original Form FMC-65 has changed. 1331 Pennsylvania Avenue, NW. The collection of this information is authorized generally by Section 19 of the Shipping Act of 1984 (46 U.S.C. The valid control number for this collection of information is 3072-0018. Decide on what kind of signature to create. (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. 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. (b) Information obtained under this part is used to determine the qualifications of ocean transportation intermediaries and their compliance with shipping statutes and regulations. of this rider, equals $____. The Form 17. Incorporation is needed. proposing more than one qualifying individual complete Part D for each (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. (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. Subpart C - Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. (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. is available with paragraph structure matching the official CFR 515.17 Hearing procedures governing denial, revocation, or suspension of OTI license. <>>> All OTIs are responsible for requiring that, upon the request of any authorized Commission representative, their agents make available all records and books of account relating to ocean transportation intermediary service provided by or for their principals, and respond promptly to any lawful inquiries by such representative. required to be listed. include the title of the individual signing the application and the date of full text search results If applicant intends may occur due to the change. 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. The required certification may be provided electronically by the forwarder or may be placed on one copy of the relevant bill of lading, a summary statement from the forwarder, the forwarder's compensation invoice, or as an endorsement on the carrier's compensation check. will also bring you to search results. Bonds of Qualifying Individual costs between $69 and $390 depending on the personal credit, license history and classification of the qualifier. openssl req -new -key fmc.key -out fmc.csr. <> Location: FMC Natatorium Address: 275 Plaza Dr, Westmont, IL 60559 . *Persons failing to indicate accurate residency status will be automatically charged the non-resident rate. Qualifying Individuals in Partnerships Between Entities: The FMC proposes adjusting the language of Section 515.11(b) regarding qualified individual (QI) requirements to clarify that an officer of a general partner entity may qualify as the QI. This Insurance Form has been filed with the Federal Maritime Commission. 515.2 (i) and 515.2 (l), 515.11 (a)). (g) Termination or suspension of registration -. This Following is a list of At least one of the active corporate officers. and continue entering the information. You can write to the Secretary, Federal Maritime Commission, 800 North Capitol Street NW., Washington, DC 20573-0001 or email: secretary@fmc.gov. (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. Such forms and documents must clearly identify the principal's name; trade name, if any; address; the state of incorporation/formation; and the printed name and title of the signatory. 5. (e) Electronic data interchange. If the applicant is a corporation or partnership, the names of the officers or partners thereof may be published. 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. Show the total number of years (b) Qualifying individual. The Form FMC-18 is not In any instance where an application has been processed in whole or in part, the fee will not be refunded. Background and more details are available in the these rules and regulations may result in denial, revocation or suspension of 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. (d) Invoices; documents available upon request. Failure to follow the provisions of this part may result in denial, revocation or suspension of an ocean transportation intermediary license or registration. Guarantor agrees to appoint an agent for service of process in the United States. Documentation supporting the use of a trade Application For Replacing The Qualifying Individual -CSLB Home OnlineServices WebApplication InteractivePDFs ApplicationForReplacingTheQualifyingIndividual Application For Replacing The Qualifying Individual Easy-Fill Application IMPORTANT NOTICE REGARDING CONVICTIONS PLEASE READ CAREFULLY NVOCC OTIs that do not have an active Form FMC-1 on file with the Commission are not considered to be in compliance with regulatory requirements, and therefore, are not included on this list. with the applicant. (For license transfers, the information will be that of the 6. (g) Freight forwarding fee means charges billed by an ocean freight forwarder to a shipper, consignee, seller, purchaser, or any agent thereof, for the performance of freight forwarding services. (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. An OTI who has reason to believe that its principal or shipper has not, with respect to a shipment to be handled by such OTI, complied with the laws of the United States, or has made any error or misrepresentation in, or omission from, any export declaration, bill of lading, affidavit, or other document which the principal or shipper executes in connection with such shipment, shall advise its principal or shipper promptly of the suspected noncompliance, error, misrepresentation or omission, and shall decline to participate in any transaction involving such document until the matter is properly and lawfully resolved. (d) Investigation. (d) The Federal Maritime Commission shall not serve as depository or distributor to third parties of bond, guaranty, or insurance funds in the event of any claim, judgment, or order for reparation. If additional space is More specific policies and procedures for . b`Y0}/yfD55J{\M:yCLl`(gY<3! G3r8y4(# yKoKjQ8q)J`i[r#@ (g) Response to requests of Commission. (2) The arrangement is not an artifice for a payment or other unlawful benefit to the principal. "Reasonably compatible" means that there is no significant discrepancy between information declared by a member or applicant and other information available to the agency. ), Ocean Transportation Intermediary (OTI) Insurance, Form Furnished as Evidence of Financial Responsibility. being replaced. This content is from the eCFR and is authoritative but unofficial. 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. (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. Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. Claims against an ocean transportation intermediary. (m) Ocean transportation intermediary (OTI) means an ocean freight forwarder or a non-vessel-operating common carrier. The qualifying individual's experience must have been gained in the United States. 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). - Complete the ISE configuration and test. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. 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 Dollars or Renminbi Yuan at the option of the Surety) shall be available to any NVOCC enumerated in an Appendix to this Rider to pay any fines and penalties for activities in the U.S.-China trades imposed by the Ministry of Communications of the People's Republic of China (MOC) or its authorized competent communications department of the people's government of the province, autonomous region or municipality directly under the Central Government or the State Administration of Industry and Commerce pursuant to the Regulations of the People's Republic of China on International Maritime Transportation and the Implementing Rules of the Regulations of the PRC on International Maritime Transportation promulgated by MOC Decree No. endstream endobj 1209 0 obj <>/Metadata 71 0 R/Pages 1206 0 R/StructTreeRoot 112 0 R/Type/Catalog>> endobj 1210 0 obj <>/MediaBox[0 0 612 792]/Parent 1206 0 R/Resources<>/Font<>/ProcSet[/PDF/Text/ImageC]/XObject<>>>/Rotate 0/StructParents 0/Tabs/S/Type/Page>> endobj 1211 0 obj <>stream