A "Certificate of Good Standing", issued within 6 months from the
Submission is completely voluntary. Whereas, the Insurance is written to assure compliance by the Insured with section 19 of the Shipping Act (46 U.S.C. Check all the boxes that
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. at (202) 566-0011. here. 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. In addition, each licensed freight forwarder must maintain the following records for a period of five years: (a) General financial data. Check the box that applies. the response to any question is yes, please attach an explanation. (2) Utilizes, for all or part of that transportation, a vessel operating on the high seas or the Great Lakes between a port in the United States and a port in a foreign country, except that the term does not include a common carrier engaged in ocean transportation by ferry boat, ocean tramp, chemical parcel tanker, or by a vessel when primarily engaged in the carriage of perishable agricultural commodities: (i) If the common carrier and the owner of those commodities are wholly-owned, directly or indirectly, by a person primarily engaged in the marketing and distribution of those commodities, and. 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%). a copy of the corporate minutes
Generally, you can expect
More specific policies and procedures for . Choosing an item from The Principal or financial responsibility provider will promptly notify the underwriting Surety in writing and the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, by mail or email (bcl@fmc.gov), of any additions, deletions or changes to the OTIs enumerated in Appendix A. 2 0 obj
Each receipt for cargo issued by a licensed freight forwarder shall be clearly identified as Receipt for Cargo and be readily distinguishable from a bill of lading. The licensed freight forwarder's name may appear with the name of the shipper, but the forwarder must be identified as the shipper's agent. Under the Auditor Regulation Act 2011, we must carry out a quality review of systems, policies, and procedures of registered audit firms and licensed auditors at least once every four years. Use the Delete ( ) icon to delete Qualifying Individuals. 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. 40902 and this part; and. 41107-41109). 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. contact the publishing agency. 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. (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. Every NVOCC must employee at least one company officer as a Qualifying Individual (QI) for FMC licensing purposes. (1) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological, musculoskeletal, special sense organs, respiratory including speech organs, cardio-vascular, reproductive, digestive, genito-urinary, hemic and lymphatic, skin, and endocrine; or If additional space is
(4) Limited liability company. 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. 9701; 46 U.S.C. developer resources. Please check the
ZI])(. (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. In witness whereof we have hereunto set our hands and seals on this ____________day of ____, 20____. license, state the name of the existing company whose license is being
3 0 obj
155.1026 Qualified individual and alternate qualified individual. 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. The applicant must obtain
Otherwise, the denial of the application will become effective and the applicant shall be so notified. "Reasonably compatible" means that there is no significant discrepancy between information declared by a member or applicant and other information available to the agency. Thereafter, registrations will be renewed for sequential three year periods upon submission of an updated registration form. Forwarder and carrier compensation; fees. Additional Qualifying Individual [ ] Replacement Qualifying Individual [ ](Name of individual being replaced: ) 11. 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. acceptable include experience gained overseas (import) as an ocean freight
the name of your existing company, the new name of the company should appear
(202) 523-5843 before filing your application. 40901-40904) and this part. 7. Comments or questions about document content can not be answered by OFR staff. Decide on what kind of signature to create. This is an automated process for <>>>
41301-41302, 41305-41307(a)), or any penalty assessed against the Applicant pursuant to section 13 of the Shipping Act (46 U.S.C. (d) In-plant arrangements. These rules and regulations are contained in section 19
[80 FR 68735, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. If you have any questions regarding the OTI list, please contact Commission staff at (202) 523-5787 This person is called the FMC Qualifying Individual or "QI". (See 46 C.F.R. The common carrier shall retain such certifications for a period of five (5) years. 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 undersigned Guarantor hereby consents to be sued directly in respect of any bona fide claim owed by Applicant for damages, reparations or penalties arising from Applicant's transportation-related activities under the Shipping Act, in the event that such legal liability has not been discharged by the Applicant after any such claimant has obtained a final judgment (after appeal, if any) against the Applicant 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 FMC, 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 Applicant and/or Guarantor pursuant to 46 CFR 515.23, whereby, upon payment of the agreed sum, the Guarantor is to be fully, irrevocably and unconditionally discharged from all further liability to such claimant. The identity of the shipper must always be disclosed in the shipper identification box on the bill of lading. You can write to the Secretary, Federal Maritime Commission, 800 North Capitol Street NW., Washington, DC 20573-0001 or email: secretary@fmc.gov. writing to the Federal Maritime Commission, Bureau of Certification and
(b) The qualified individual and alternate must - Incorporation is needed. In the event a licensee acquires one or more additional licensees, for the purpose of merger, consolidation, or control, the acquiring licensee shall advise the Commission of such acquisition, including any change in ownership, within 30 days after such change occurs by submitting an amended Form FMC-18. The Surety shall not be liable for fines or penalties imposed on the Principal after the expiration of the 30-day period but such termination shall not affect the liability of the Principal and Surety for any fine or penalty imposed prior to the date when said termination becomes effective. If more than one insurer joins in executing this document, that action constitutes joint and several liability on the part of the insurers. (a) The response plan must identify a qualified individual and at least one alternate who meet the requirements of this section. (a) Every ocean transportation intermediary not located in the United States and every group or association of ocean transportation intermediaries not located in the United States which provides financial coverage for the financial responsibility of a member ocean transportation intermediary shall designate and maintain a person in the United States as legal agent for the receipt of judicial and administrative process, including subpoenas. If the Commission determines, as a result of its investigation, that the applicant: (a) Does not possess the necessary experience or character to render intermediary services; (b) Has failed to respond to any lawful inquiry of the Commission; or. The Medicare . 1, January 20, 2003. b. Search & Navigation Only the
41107-41109). The qualifying individual must have
515.22 Proof of financial responsibility. (d) Compensation pursuant to tariff provisions. Within the same 30-day period, the licensee shall furnish to the Commission the name(s) and detailed intermediary experience of any other active partner(s), member(s), manager(s) or officer(s) who may qualify the licensee. execution. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. of this rider, equals $____. (e) Electronic data interchange. (e) Optional bond riders. To receive the program benefits,. 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. If this is an initial application for a license, the change
6, 2004; 80 FR 68735, Nov. 5, 2015; 85 FR 9683, Feb. 20, 2020]. If the response to any question is yes, please attach an
19. The acceptance or solicitation of any other shipments is expressly prohibited until a new license has been issued. 8, 1999, as amended at 80 FR 68734, Nov. 5, 2015]. Just click inside the text box that you want to fill in and enter the information. (2) If the parties fail to reach an agreement in accordance with paragraph (b)(1) of this section within ninety (90) days of the date of the initial notification of the claim, the bond, insurance, or other surety shall be available to pay any final judgment for reparations ordered by the Commission or damages obtained from an appropriate court. When a partnership, LLC, or corporation has been licensed on the basis of the qualifications of one or more of the partners, members, managers or officers thereof, and the QI no longer serves as a full-time employee with the OTI or is no longer responsible for the licensee's OTI activities, the licensee shall report such change to the Commission within thirty (30) days. all questions answered or noted "N/A" within those Parts. 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. documentation that lists all appointed officers) must be submitted with the
10. Jun. Any person which exclusively transports used household goods and personal effects for the account of the Department of Defense, or for the account of the federal civilian executive agencies shipping under the International Household Goods Program administered by the General Services Administration, or both, is not subject to the requirements of subpart B of this part, but may be subject to other requirements, such as alternative surety bonding, imposed by the Department of Defense, or the General Services Administration. application, e.g. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; Navigate by entering citations or phrases completed. 41107-41109). week. 8, 1999, as amended at 80 FR 68737, Nov. 5, 2015]. proof of financial responsibility in the form and amount prescribed in 46
The terms used in this part are defined as follows: (a) Act or Shipping Act means the Shipping Act of 1984, as amended. explanation of the business practices of both companies. 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. This is to certify, that the (Name of Insurance Company), (hereinafter Insurer) of (Home Office Address of Company) has issued to (OTI or Group or Association of OTIs [indicate whether NVOCC(s) or Freight Forwarder(s)]) (hereinafter Insured) of (Address of OTI or Group or Association of OTIs) a policy or policies of insurance for purposes of complying with the provisions of Section 19 of the Shipping Act of 1984 (46 U.S.C. 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. contained in the Form FMC-18 must be reported to the Commission within 30 days
(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. 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. 2. qualify, it is suggested that you review 46 C.F.R. 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. If applicant is currently licensed as an ocean freight
The Surety shall not be liable for any transportation-related activities of the OTIs identified in Appendix A as covered by the Principal 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 occurring prior to the date when said termination becomes effective. complete Part F. 3. OMB control number assigned pursuant to the Paperwork Reduction Act. explanation. (h) Non-vessel-operating common carriers; compensation. It is important that a current email address is maintained on file with the Commission. From the Qualifying Individuals screen, click the Edit icon. seeks a change in business structure, license transfer, or name change. Applicants that are
parent or holding company will have a beneficial interest in shipments moving
ALL
(2) Notices described in paragraph (c)(1) of this section shall be promptly submitted in writing by mail or email (bcl@fmc.gov) to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. instance where the application has been processed in whole or part. Material changes include, but are not limited to: Changes in business address; any criminal indictment or conviction of a licensee, QI, or officer; any voluntary or involuntary bankruptcy filed by or naming a licensee, QI, or officer; changes of five (5) percent or more of the common equity ownership or voting securities of the OTI; or, the addition or reduction of one or more partners of a licensed partnership, one or more members or managers of a Limited Liability Company, or one or more branch offices. 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 Faculty Multimedia Center (FMC) is a do-it-yourself . 862. 15. (m) Ocean transportation intermediary (OTI) means an ocean freight forwarder or a non-vessel-operating common carrier. 41107-41109). This content is from the eCFR and may include recent changes applied to the CFR. In accordance with that Act, agencies are required to display a currently valid control number. (c) Duration of license. "Qualifying Individual-1" means a Qualified Individual who meets the Qualifying Individual-1 income and resource standards. Ocean Transportation Intermediary (OTI) Bond (Section 19, Shipping Act of 1984 (46 U.S.C. (a) Necessary qualifications. formatting. An independently qualified applicant may be granted a separate license to carry on the business of providing ocean transportation intermediary services even though it is associated with, under common control with, or otherwise related to another ocean transportation intermediary through stock ownership or common directors or officers, if such applicant submits: A separate application and fee, and a valid instrument of financial responsibility in the form and amount prescribed under 515.21. If you
A notice of each registration shall be published on the Commission's Web site www.fmc.gov. The valid control number for this collection of information is 3072-0018. the surety bond. 862. ( q) Reduced forwarding fees means charges to a principal for forwarding services that are below the licensed ocean freight forwarder's usual charges for such services. 41301-41302, 41305-41307(a)), or any penalty assessed pursuant to section 13 of the Shipping Act (46 U.S.C. - Upload the signed certificate. 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. State if all or part of the company is being
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 (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. applications. preclude licensing. (2) An OFF that does not have a bond, insurance, or other surety as required by 46 U.S.C. There is no fee for filing changes to pending
The Commission shall publish on the Commission's Web site www.fmc.gov notice of each revocation and suspension.