(b) Agents, employees, or branch offices of an ocean transportation intermediary. 40901-40904) and this part. SAF/FM Sub-Organizations. 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. The following notice shall appear on each invoice to a principal: Upon request, we shall provide a detailed breakout of the components of all charges assessed and a true copy of each pertinent document relating to these charges. $225. (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. (r) Registered non-vessel-operating common carrier (registered NVOCC) means an NVOCC whose primary place of business is located outside the United States and who elects not to become licensed as an NVOCC, but to register with the Commission as provided in 515.19, post a bond or other surety in the required amount, and publish a tariff as required by 46 CFR part 520. must be attached to the Form FMC-18 with the initial application. 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). intermediaries (OTI). no longer operate as a business provide dissolution papers. The hearing will be adjudicated under the procedures set forth in subpart X of part 502 of this chapter. Such registered NVOCC shall be strictly responsible for the acts and omissions of its employees and agents, wherever they are located. The Applicant or Guarantor will promptly notify the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, in writing by mail or email (bcl@fmc.gov), of all claims made, lawsuits filed, judgments rendered, and payments made under the Guaranty. (d) Federal military and civilian household goods. (c) Information provided to the principal. The liability of the Insurer shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall aggregate the penalty of the Insurance in the amount per member OTI set forth in 46 CFR 515.21, or the amount per group or association of OTIs set forth in 46 CFR 515.21, regardless of the financial responsibility or lack thereof, or the solvency or bankruptcy, of Insured. States or abroad that is related to the applicant in any other way (e.g., where 2. documentation that will verify that fact, e.g. A common carrier may pay compensation to a licensed freight forwarder only pursuant to such common carrier's tariff provisions. An additional condition of this Bond is that $ ______________(payable in U.S. 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. You may obtain 6, 2004; 80 FR 68735, Nov. 5, 2015; 85 FR 9683, Feb. 20, 2020]. 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. 515.16 Revocation or suspension of license. the Commission's regulations that explains the Licensing and Financial It should be noted that fees will not be returned in any documentation (e.g. A group or association of ocean transportation intermediaries may also file an optional bond rider as provided in 515.25(b). Whenever a license has been revoked or an application has been denied because the Commission has found the licensee or applicant to be not qualified to render ocean transportation intermediary services, any further application within 3 years of the Commission's notice of revocation or denial, made by such former licensee or applicant or by another applicant employing the same qualifying individual, officer(s), member(s), manager(s) or controlled by persons on whose conduct the Commission based its determination for revocation or denial, shall be reviewed directly by the Commission. 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. (2) The arrangement is not an artifice for a payment or other unlawful benefit to the principal. This person is called the FMC Qualifying Individual or "QI". 40101-41309) and the rules and regulations of the Federal Maritime Commission (FMC), or is or may become a group or association of OTIs, and desires to establish its financial responsibility in accordance with section 19 of the Shipping Act (46 U.S.C. months lapse between the date of notification of approval of an application and (f) Compensation means payment by a common carrier to a freight forwarder for the performance of services as specified in 515.2(h). US will bring you directly to the content. of the change. 515.42 Forwarder and carrier compensation; fees. Choosing an item from (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. (Qualifying Individuals for NVOCCs not in the US may submit proof of - Sign the CSR request from Internal CA. Completed application Form FMC-18 and $250.00 fee. a minimum of three years experience in the ocean transportation intermediary (b) Group financial responsibility. (m) Ocean transportation intermediary (OTI) means an ocean freight forwarder or a non-vessel-operating common carrier. 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. Order Here Open Lap Swim / Conditioning Membership: $60.00 Monthly transferred from (transferor) and identify the company which will receive the The Commission shall publish on the Commission's Web site www.fmc.gov notice of each revocation and suspension. (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. (2) Fees under this part shall be as follows: (i) Application for new OTI license as required by 515.12(a): Filing $250. Form FMC-18must be filed for any changes to a licensee: Other changes to information reported on the original Form FMC-18 may be reported by an officer of the company via email to oti@fmc.gov. 4 0 obj The Form FMC-18 is not Subscribe to: Changes in Title 46 :: Chapter IV :: Subchapter B :: Part 515. ), Ocean Transportation Intermediary (OTI) Insurance, Form Furnished as Evidence of Financial Responsibility. (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). contact BCL any time during normal working hours (8:30 am - 5 pm, EST) by 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. mail. A document supporting the legal business name (See 46 C.F.R. 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. Nomenclature changes to part 515 appear at 67 FR 39860, June 11, 2002, and 70 FR 7669, Feb. 15, 2005. The Commission may also seek payment of civil penalties assessed under section 13 of the Shipping Act (46 U.S.C. . c. This Rider is effective the ____ day of ____, 20____, and shall continue in effect until discharged, terminated as herein provided, or upon termination of the Bond in accordance with the sixth paragraph of the Bond. The valid control number for this collection of information is 3072-0018. Everest Transportation Systems, LLC . 40501 and part 520 of this chapter, and a bond, insurance, or other surety as required by 46 U.S.C. The Commission has received OMB approval for this collection of information pursuant to the Paperwork Reduction Act of 1995, as amended. 40101-41309)) (Shipping Act). If additional space is (u) Special contract is a contract for ocean freight forwarding services which provides for a periodic lump sum fee. A filing fee shall be paid, as required under 515.5(c). (1) It possesses the necessary experience, that is, its qualifying individual has a minimum of three (3) years' experience in ocean transportation intermediary activities in the United States, and the necessary character to render ocean transportation intermediary services. If this is an When a group or association of ocean transportation intermediaries accepts liability for an ocean transportation intermediary's financial responsibility for such ocean transportation intermediary's transportation-related activities under the Act, the group or association of ocean transportation intermediaries shall file a group bond form, insurance form or guaranty form, clearly identifying each ocean transportation intermediary covered, before a covered ocean transportation intermediary may provide ocean transportation intermediary services. The QI must have no less than three years of experience processing freight shipments in the U.S. ocean trade lane. [515.19(f) &515.20] These changes should be sent tooti@fmc.gov. 1240 0 obj <>stream (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. (b) Rejection. citations and headings 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. 40101-41309. qualifying individual(s). hb```^!b`f`sL``p`Hadw5Sl;`}5A55itFN)as_,;#n Responsibility Requirements. A California Bond of Qualifying Individual will serve as a legal promise regarding the compliance of the applicant to the relevant provisions of the California Business and Professions Code and the rules and regulations set forth by the California Contractors State License Board of the Department of Consumer Affairs. NZICA Accredited body report The certification shall read as follows: The undersigned hereby certifies that neither it nor any holding company, subsidiary, affiliate, officer, director, agent or executive of the undersigned has a beneficial interest in this shipment; that it is the holder of valid FMC License No. Whereas, the Insurer certifies that it has sufficient and acceptable assets located in the United States to cover all liabilities of Insured herein described, this Insurance shall inure to the benefit of any and all persons who have a bona fide claim against the Insured pursuant to 46 CFR 515.23 arising from its transportation-related activities under the Shipping Act, or order of reparation issued pursuant to section 11 of the Shipping Act (46 U.S.C. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; (2) In addition to information provided by the applicant and its references, the Commission may consider all information relevant to determining whether an applicant has the necessary character to render ocean transportation intermediary services, including but not limited to, information regarding: Violations of any shipping laws, or statutes relating to the import, export, or transport of merchandise in international trade; operating as an OTI without a license or registration; state and federal felonies and misdemeanors; voluntary and non-voluntary bankruptcies not discharged; outstanding tax liens and other court and administrative judgments and proceedings; compliance with immigration status requirements described in 49 CFR 1572.105; denial, revocation, or suspension of a Transportation Worker Identification Credential under 49 CFR 1572; and the denial, revocation, or suspension of a customs broker's license under 19 CFR subpart B, section 111. In this case, BEIC will follow-up with the OTI in an attempt to resolve any non-compliant aspects of the OTIs operations. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. (1) Licenses. A compliance audit starts with a letter of introduction that explains BEICs authority and purpose for conducting the audit. The collection of this information is authorized generally by Section 19 of the Shipping Act of 1984 (46 U.S.C. These recordkeeping requirements are independent of the retention requirements of other federal agencies. If you are changing proof of financial responsibility in the form and amount prescribed in 46 (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. Assura The FMC will require a copy of a corporate document that proves the qualifying individual is a company officer. If replacing a qualifying individual, list the name of the individual (2) Prepared and processed the ocean bill of lading, dock receipt, or other similar document with respect to the shipment. For example, if a reference does not confirm the qualifying individual's experience to the FMC's satisfaction, a replacement reference can be used. (2) Any person in the United States advertising, holding oneself out, or acting as an NVOCC as defined in 515.2(m)(2) shall furnish evidence of financial responsibility in the amount of $75,000. A6, A7, B5, B6, B7, etc). 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. Form FMC-18 (Rev. the qualifying individual only as it relates to those jobs where experience was (j) Licensee is any person licensed by the Federal Maritime Commission as an ocean transportation intermediary. [64 FR 11171, Mar. Each day of a continuing violation shall constitute a separate violation. parent of Incorporation and minutes of a meeting appointing officers (or other write "N/A". 13. 41301-41302, 41305-41307(a)), or any penalty assessed against the Applicant pursuant to section 13 of the Shipping Act (46 U.S.C. and months of ocean transportation intermediary experience that the qualifying going to conduct OTI business through branch offices in the Licensing, Registration and/or Proof of Financial Responsibility, Competition and Integrity for Americas Ocean Supply Chain, Apply for or make changes to a License or Request a Foreign Registration, Ocean Shipping Reform Act of 2022 (OSRA) Implementation, Foreign NVOCC Registration Status Changes, Consumer Affairs & Dispute Resolution Services, Historical Federal Maritime Commission Reports, Vessel-Operating Common Carrier (VOCC) Audit Program. 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. The notice of intent to deny the application will provide, in detail, a statement of the facts supporting denial. (a) Notice of shipper affiliation. a. Proof of firm's name, original and English translation. Check the boxes that apply. punctuation. 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. HSA vs. 401 (K) Both accounts let you make pre-tax contributions and grow tax-free earnings. (b) Stationery and billing forms. consider the application to be void. 8, 1999, as amended at 80 FR 68737, Nov. 5, 2015]. (j) Prohibition. FAR). For LLPs and LLCs, an Amended Partner Membership The Bureau of Enforcement, Investigation, and Compliance (BEIC) actively fosters industry compliance with theShipping Act and other statutes and regulations within the Commissions authority. or fax at (202) 566-0011. You are not required to provide the information requested on a form that is subject to the Paperwork Reduction Act unless the form displays a valid OMB control number. information or personal data. Whereas, this Guaranty is written to ensure compliance by the Applicant with section 19 of the Shipping Act (46 U.S.C. OTI cooperation during the audit is key to achieve prompt completion of the audit and any corrective actions. Except as otherwise provided in this part, no person may advertise, hold oneself out, or act as an ocean transportation intermediary unless that person furnishes a bond, proof of insurance, or other surety in a form and amount determined by the Commission to insure financial responsibility. A licensed freight forwarder may not receive compensation from a common carrier with respect to any shipment in which the forwarder has a beneficial interest or with respect to any shipment in which any holding company, subsidiary, affiliate, officer, director, agent, or executive of such forwarder has a beneficial interest. 1. Identify whether applicant, 515.18 Application after revocation or denial. An applicant that previously held an OTI license that was revoked or - Upload the signed certificate. This document is available in the following developer friendly formats: Information and documentation can be found in our (w) United States includes the several States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Marianas, and all other United States territories and possessions.