13. hb```^!b`f`sL``p`Hadw5Sl;`}5A55itFN)as_,;#n (b) A registration form which appears, upon submission, to be substantially incomplete may be rejected. parent or holding company, or an employee of any other firm in the United Documentation supporting the use of a trade (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. 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. This Insurance Form has been filed with the Federal Maritime Commission. (b) Agents, employees, or branch offices of an ocean transportation intermediary. (b) Types of services by shipment. How to Amend the Title/Business Address for an Existing Qualifying Individual 1. explanation of the business practices of both companies. proposing more than one qualifying individual complete Part D for each b`Y0}/yfD55J{\M:yCLl`(gY<3! G3r8y4(# yKoKjQ8q)J`i[r#@ 13. (d) Invoices; documents available upon request. months lapse between the date of notification of approval of an application and endstream endobj startxref 8, 1999, as amended at 78 FR 42888, July 18, 2013], (a) Filing of proof of financial responsibility -. (2) The arrangement is not an artifice for a payment or other unlawful benefit to the principal. For purposes of this paragraph, it is sufficient that a person seeking to serve process on an ocean transportation intermediary, or group of such intermediaries, affirm to the Commission's Secretary that: they have contacted, or attempted to contact, the designated agent to confirm whether it remained authorized to accept service of process; or, if no legal agent is designated in the tariff, that it has no knowledge of the identity of the ocean transportation intermediary's legal agent. Incorporated branch offices must be [64 FR 11171, Mar. 515.91 OMB control number assigned pursuant to the Paperwork Reduction Act. 41301-41302, 41305-41307(a)), or any penalty assessed against the Applicant pursuant to section 13 of the Shipping Act (46 U.S.C. 1208 0 obj <> endobj (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. 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. Check the boxes that apply. B. (1) Any person in the United States advertising, holding oneself out, or acting as an ocean freight forwarder as defined in 515.2(m)(1) shall furnish evidence of financial responsibility in the amount of $50,000. 41107-41109). (a) The response plan must identify a qualified individual and at least one alternate who meet the requirements of this section. (c) Failure to provide necessary information and documents. (f) Errors and omissions of the principal or shipper. 13. export shipper, steamship agent, air freight 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. (k) Non-vessel-operating common carrier services refers to the provision of transportation by water of cargo between the United States and a foreign country for compensation without operating the vessels by which the transportation is provided, and may include, but are not limited to, the following: (1) Purchasing transportation services from a common carrier and offering such services for resale to other persons; (2) Payment of port-to-port or multimodal transportation charges; (3) Entering into affreightment agreements with underlying shippers; (4) Issuing bills of lading or other shipping documents; (5) Assisting with clearing shipments in accordance with U.S. government regulations; (6) Arranging for inland transportation and paying for inland freight charges on through transportation movements; (7) Paying lawful compensation to ocean freight forwarders; (8) Coordinating the movement of shipments between origin or destination and vessel; (10) Entering into arrangements with origin or destination agents; (11) Collecting freight monies from shippers and paying common carriers as a shipper on NVOCC's own behalf. application for individual free miner certificate (fmc) mineral titles bc - www.mineraltitles.gov.bc.ca 5.acknowledgement the information collected on this form is collected under the authority of the mineral tenure act (r.s.b.c. Choosing an item from Track record and fund management expertise of the applicant and its parent company or major shareholders. Notice of filing of each application shall be published on the Commission's Web site www.fmc.gov and shall state the name and address of the applicant and the name of the QI. Follow the step-by-step instructions below to design your 13a cslb form: Select the document you want to sign and click Upload. It should be noted that fees will not be returned in any Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; Signed and sealed this ____ day of ____, ____. A group or association of ocean transportation intermediaries may also file an optional bond rider as provided in 515.25(b). (b) To whom issued. These recordkeeping requirements are independent of the retention requirements of other federal agencies. [80 FR 68732, Nov. 5, 2015, as amended at 81 FR 59144, Aug. 29, 2016; 83 FR 50294, Oct. 5, 2018; 84 FR 62467, Nov. 15, 2019]. FMC regulates ocean shippingTo qualify for any of the three types of OTI license 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. Show the employment history of Choose My Signature. 862. Assura (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. <> of the Shipping Act of 1984, as amended by the Ocean Shipping Reform Act of Signature of Official signing on behalf of Insurer. 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. If applicant intends The qualifying individual of one active licensee shall not also be designated as the qualifying individual of an applicant for another ocean transportation intermediary license, unless both entities are commonly owned or where one directly controls the other. 515.42 Forwarder and carrier compensation; fees. Study with Quizlet and memorize flashcards containing terms like Type AC cable is permitted in, Listed FMC and LFMC shall contain an equipment grounding conductor if the raceway is installed for the reason of, Cable________ made and insulated by approved methods can be located within a cable tray provided they are accessible, and do not project above the side rails where the splices are . 14. typed, no hand written submissions will be accepted. Principal's Agent for Service of Process (Required if Principal is not a U.S. surrendered, must complete Question No. A separate drafting site (c) Duration of license. (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. Jun. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. This Guaranty is effective the day of ____, ____, ____ 12:01 a.m., standard time at the address of the Guarantor as stated herein and shall continue in force until terminated as herein provided. If the response to any question is yes, please attach an explanation. and continue entering the information. p;^z^r':;@{GKC 0e`} ^8 T@T!n9Sp Y "0429D -3,~iF i 20* uT Duties and Responsibilities of Ocean Transportation Intermediaries; Reports to Commission. All subsequent renewals will take place on regular three-year intervals. or existing codification. 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. Any application which appears upon its face to be incomplete or to indicate that the applicant fails to meet the licensing requirements of the Act, or the Commission's regulations, may be rejected and a notice shall be sent to the applicant, together with an explanation of the reasons for rejection, and the filing fee shall be refunded in full. of the applicant that perform OTI services. 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. A common carrier or agent thereof which meets the requirements of this part may be licensed as an ocean freight forwarder to dispatch shipments moving on other than such carrier's own bills of lading subject to the provisions of 515.42(g). telephone at(202) 523-5843 (Office of Transportation Intermediaries) or by fax (a) No common carrier may knowingly and willfully accept cargo from or transport cargo for the account of: (1) An NVOCC that does not have a published tariff as required by 46 U.S.C. 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. The valid control number for this collection of information is 3072-0018. In addition to applying for an FMC, you will also need a business BCeID account. 41107-41109). Sole proprietorships must show the response to any question is yes, please attach an explanation. The guaranty must be placed with: (1) A Guarantor having a financial rating of Class V or higher under the Financial Size Categories of A.M. Best & Company, or equivalent from an acceptable international rating organization; (d) Evidence of financial responsibility of the type provided for in paragraphs (a), (b) and (c) of this section established through and filed with the Commission by a group or association of ocean transportation intermediaries on behalf of its members, subject to the following conditions and procedures: (1) Each group or association of ocean transportation intermediaries shall notify the Commission of its intention to participate in such a program and furnish documentation as will demonstrate its authenticity and authority to represent its members, such as articles of incorporation, bylaws, etc. An OTI shall account to its principal(s) or shipper(s) for overpayments, adjustments of charges, reductions in rates, insurance refunds, insurance monies received for claims, proceeds of C.O.D. 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. Where we note significant misconduct we refer these matters to the appropriate disciplinary bodies. 1/1.1 substance. Such termination shall become effective thirty (30) days after receipt of said notice by the Commission. The complete (5) Failure to honor the licensee's financial obligations to the Commission. 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. to share office space or is currently sharing space with another person or Prior to the date it commences furnishing ocean transportation intermediary services, every ocean transportation intermediary shall establish its financial responsibility for the purpose of this part by one of the following methods: (a) Surety bond, by filing with the Commission a valid bond on Form FMC-48. Only the proper license may be subject to civil penalties not to exceed $6,000 for each 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 required OTI experience of the QI of a foreign-based NVOCC seeking to become licensed under this part (foreign-based licensed NVOCC) may be experience acquired in the U.S. or a foreign country with respect to shipments in the United States oceanborne foreign commerce. is also required for applications seeking approval of a change in business Other changes in material fact of a licensee shall be reported within thirty (30) days of such changes, in writing by mail or email (bcl@fmc.gov) to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573. You may obtain 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. 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. The total amount of aggregate coverage equals or exceeds $125,000. 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 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. 10. 862. In witness whereof we have hereunto set our hands and seals on this ____________day of ____, 20____. Revision 21-2; Effective June 1, 2021. Following is a list of The Surety shall indicate that $50,000 is available to pay such fines and penalties for each NVOCC listed on appendix A to this Rider wishing to exercise this option. Submission is completely voluntary. The Commission may contact these (a) Necessary qualifications. 40101-41309) (Shipping Act). A license will be issued after the Commission has received acceptable 40101 - 41309 Foreign Shipping Practices Act of 1988 - 46 U.S.C. What is the definition of a qualified individual? (b) Operation after death of sole proprietor. (a) Licenses. 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. As a Agreement can be used. (2) Including the following notice on such items: This company is a shipper or seller of goods in international commerce or is affiliated with such an entity. (2) Any other appropriate procedure, provided that such procedure is set forth in the carrier's tariff. 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. If you have any questions regarding the OTI list, please contact Commission staff at (202) 523-5787 Federal Maritime Commission, Washington, DC 20573, within twenty (20) days of the . (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 you are changing your existing corporations business structure do not appropriate box that applies to the applicant. 3, Part B. 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 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. Copies of this form will be maintained until the corresponding license has been revoked. The qualifying individual's experience must have been gained in the United States. <iframe title="Intentionally Blank" src="https://www.googletagmanager.com/ns.html?id=GTM-MBGXM55" height="0" width="0" aria-hidden="true" style="display:none . An additional condition of this Bond is that $____ (payable in U.S. You may (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. Please do not provide confidential Everest Transportation Systems, LLC . He or she need not be a shareholder of the company, but must be an officer and a full-time employee. Let us help you navigate the regulatory seas! 8, 1999, as amended at 74 FR 50719, Oct. 1, 2009; 80 FR 68730, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. In the event an application is closed as a result of the applicant's failure to provide information or documents necessary to complete processing, the filing fee will not be returned. (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). SAF/FM Sub-Organizations. ; (2) Each group or association of ocean transportation intermediaries shall provide the Commission with a list certified by its Chief Executive Officer containing the names of those ocean transportation intermediaries to which it will provide coverage; the manner and amount of existing coverage each covered ocean transportation intermediary has; an indication that the existing coverage provided each ocean transportation intermediary is provided by a surety bond issued by a surety company found acceptable to the Secretary of the Treasury, or by insurance or guaranty issued by a firm meeting the requirements of paragraphs (b) or (c) of this section with coverage limits specified above in 515.21; and the name, address and facsimile number of each surety, insurer or guarantor providing coverage pursuant to this section. For corporations, an Amended Articles of You should familiarize licensed. "Reasonably compatible" means that there is no significant discrepancy between information declared by a member or applicant and other information available to the agency. 2. 6, 2004; 80 FR 68735, Nov. 5, 2015; 85 FR 9683, Feb. 20, 2020]. payable to the Federal Maritime Commission. Please do not send cash. 515.17 Hearing procedures governing denial, revocation, or suspension of OTI license. 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.