application to make certain that all applicable parts have been completed and ____ [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. (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. If you are changing 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. View the most recent official publication: These links go to the official, published CFR, which is updated annually. 8, 1999, as amended at 80 FR 68733, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. New OTI Rules Now in Effect - Federal Maritime Commission 8. OMB control number assigned pursuant to the Paperwork Reduction Act. Failure of the applicant to submit the identified materials by the established date will result in the closing of its application without further processing. documentation supporting that name (e.g. 40902 and this part; or. Title 46 was last amended 2/27/2023. Identify the name Appendix A to Part 515 - Ocean Transportation Intermediary (OTI) Bond Form [Form 48], Appendix B to Part 515 - Ocean Transportation Intermediary (OTI) Insurance Form [Form 67], Appendix C to Part 515 - Ocean Transportation Intermediary (OTI) Guaranty Form [Form 68], Appendix D to Part 515 - Ocean Transportation Intermediary (OTI) Group Bond Form [FMC-69], Appendix E to Part 515 - Optional Rider for Additional NVOCC Financial Responsibility (Optional Rider to Form FMC-48) [FORM 48A], Appendix F to Part 515 - Optional Rider for Additional NVOCC Financial Responsibility for Group Bonds [Optional Rider to Form FMC-69]. Charges for such forwarding services shall be assessed in conformance with the carrier's published tariffs. (2) An ocean transportation intermediary must report branch offices to the Commission in Form FMC-18 or under the procedures in 515.20(e). There are three variants; a typed, drawn or uploaded signature. 11. hk%ZAK eV.U-tx 9U2yL2`1S1Oq/TQ!QhSUv*[N%6ZSE]bnYZqduN1MnTV,~O?Sny}>}Soj{}oyq^n?O'o|Y9lpw_O-7_|O_}(MMcP?7qvy7oyhDtw_Kx]AwNlo_/N7w?o>}s#uzL9o_f-UOGvozex}1vjZ?NmV*ROS7Lkx6rz{-vcbI{k0&4oC>p2FfL.w4^YtT{yFqSNccOQDD|=!l{kgqiCzB{i'zI}BsD&q6~SF8%M@l)$&,6*&0V@0!6sh}3Fl0 &4?9}[#9!%ZIs;nR)Fc;K_DkG4%(6'7y2HtV&HkGc[}kov-DwWLr4jmSMf$xcz(?u 'GekkdClO`=X*{68V-v5q. The Faculty Multimedia Center (FMC) is a do-it-yourself . PDF Individual Free Miner Certificate Application Form - Gov A license will be issued after the Commission has received acceptable (3) Any registered NVOCC, as defined in 515.2(r), shall furnish evidence of financial responsibility in the amount of $150,000. These rules and regulations are contained in section 19 515.14 Issuance, renewal, and use of license. The FMC will require a copy of a corporate document that proves the qualifying individual is a company officer. All application forms (FMC-18) are now filed electronically. 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. proposing more than one qualifying individual complete Part D for each 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. QI Information - DPI Courses 5 U.S.C. If this is an initial application for a license, the change Comments or questions about document content can not be answered by OFR staff. 1221 0 obj <>/Filter/FlateDecode/ID[<771312062B97CA4C8DD3E39D25FD9618>]/Index[1208 33]/Info 1207 0 R/Length 83/Prev 603469/Root 1209 0 R/Size 1241/Type/XRef/W[1 3 1]>>stream Understanding the Medicare Qualified Individual (QI) program typed, no hand written submissions will be accepted. if this is an application for a license transfer, this question must be An applicant that previously held an OTI license that was revoked or The Bureau of Enforcement, Investigation, and Compliance (BEIC) actively fosters industry compliance with theShipping Act and other statutes and regulations within the Commissions authority. 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. The Commission will update this list on a periodic basis. Every NVOCC must employee at least one company officer as a Qualifying Individual (QI) for FMC licensing purposes. (6) The coverage provided by the group or association of ocean transportation intermediaries on behalf of its members shall be provided by: (i) in the case of a surety bond, a surety company found acceptable to the Secretary of the Treasury and issued by such a surety company on Form FMC-69; and. We recommend you directly contact the agency responsible for the content in question. 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. Qualifying Individual (QI) This article has moved to our new Knowledge Center home. (b) Optional bond rider. 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. The Commission may contact these 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. The application must must be attached to the Form FMC-18 with the initial application. 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. <>/ExtGState<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 612 792] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> 41301-41302, 41305-41307(a)), or any penalty assessed pursuant to section 13 of the Shipping Act (46 U.S.C. Auditors and accredited bodies compliance requirements The liability of the Surety shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall aggregate the penalty amount of this bond, and in no event shall the Surety's total obligation hereunder exceed said penalty amount, regardless of the number of claims or claimants. (d) Federal military and civilian household goods. (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. FEDERAL MARITIME COMMISSION . Welcome to the Form FMC-18 Automated Filing System! individual. Foreign-based Unlicensed NVOCC Registration/Renewal Form FMC-65 and financial responsibility Forms FMC-48, FMC-67, FMC-68, FMC-69 may be obtained from the Commission's website at www.fmc.gov, from the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, or from any of the Commission's Area Representatives. "Qualifying Individual-1" means a Qualified Individual who meets the Qualifying Individual-1 income and resource standards. Whereas, (Principal) ____ operates as a group or association of OTIs in the waterborne foreign commerce of the United States and pursuant to section 19 of the Shipping Act of 1984 (46 U.S.C. (2) The arrangement is not an artifice for a payment or other unlawful benefit to the principal. US All hearing requests under 515.15 and 515.16 shall be submitted to the Commission's Secretary. or fax at (202) 566-0011. responsibility within two years of the date of approval, the Commission will conglomerates must submit a list of all subsidiaries and affiliations printed Guaranty in Respect of Ocean Transportation Intermediary (OTI) Liability for Damages, Reparations or Penalties Arising from Transportation-Related Activities Under the Shipping Act of 1984 (46 U.S.C. (a) Who may seek payment. Failure to comply with Such person shall not receive compensation from the common carrier for any services rendered in connection with such shipments. We are also republishing a certification process pertaining to. (d) Common carrier. 40101-41309)) (Shipping Act). Enhanced content is provided to the user to provide additional context. must match exactly the legal name of the applicant including abbreviations and Last Updated 6/24/2013 Page 3 Note: After edits are made to Qualifying Individuals use the Undo ( ) icon to undo changes made. (d) Commission means the Federal Maritime Commission. 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. Microsoft Edge, Google Chrome, Mozilla Firefox, or Safari. Identify any person Hearing procedures governing denial, revocation, or suspension of OTI license. 515.42 Forwarder and carrier compensation; fees. Holding companys identify affiliations that are (b) Certification required for compensation. 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. (b) Agents, employees, or branch offices of an ocean transportation intermediary. For example, if a reference does not confirm the qualifying individual's experience to the FMC's satisfaction, a replacement reference can be used. 1996, chap 292), and in accordance with Such registered NVOCC shall be strictly responsible for the acts and omissions of its employees and agents, wherever they are located. (b) For purposes of this part, a person is considered to be in the United States if such person is resident in, or incorporated or established under, the laws of the United States. used with the Ocean Freight Forwarder (OFF) and Non-Vessel-Operating Common 515.2(b). 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. Duties and Responsibilities of Ocean Transportation Intermediaries; Reports to Commission. Application Type: New OFF & NVO License. The experts in U.S. Federal Maritime regulations since 1975. Incomplete applications will be returned without processing. Incorporated branch offices must be 515.21 Financial responsibility requirements. 0 10. required to be listed. 5 Helpful. 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. (h) Freight forwarding services refers to the dispatching of shipments on behalf of others, in order to facilitate shipment by a common carrier, which may include, but are not limited to, the following: (2) Preparing and/or processing export documents, including the required `electronic export information'; (3) Booking, arranging for or confirming cargo space; (4) Preparing or processing delivery orders or dock receipts; (5) Preparing and/or processing common carrier bills of lading or other shipping documents; (6) Preparing or processing consular documents or arranging for their certification; (9) Assisting with clearing shipments in accordance with United States Government export regulations; (10) Preparing and/or sending advance notifications of shipments or other documents to banks, shippers, or consignees, as required; (11) Handling freight or other monies advanced by shippers, or remitting or advancing freight or other monies or credit in connection with the dispatching of shipments; (12) Coordinating the movement of shipments from origin to vessel; and. BEIC promotes voluntary compliance through outreach and education to the shipping public and regulated industry, and works closely with theCommissions Area Representativesand theBureau of Certification and Licensingto help OTIs understand their responsibilities and how to comply with the Shipping Act and the Commissions regulations. *Prices shown are for a one year term and are based on several factors including personal credit, license history, years in business and active licensing and bonding of the qualifier. (a) Any NVOCC whose primary place of business is located outside the United States and does not elect to become licensed by the Commission shall register with the Commission by submitting to the Director of the Bureau of Certification and Licensing (BCL) a completed registration form, Form FMC-65 (Foreign-based Unlicensed NVOCC Registration/Renewal). a. (2) Where information identified in an OTI's license renewal process is changed from that set out in its current Form FMC-18 and requires Commission approval pursuant to 515.20, the licensee must promptly submit a request for such approval on Form FMC-18 together with the required filing fee. A current running account of all receipts and disbursements, accounts receivable and payable, and daily cash balances, supported by appropriate books of account, bank deposit slips, canceled checks, and monthly reconciliation of bank statements. (d) Special contracts. The Medicare . [64 FR 11171, Mar. b`Y0}/yfD55J{\M:yCLl`(gY<3! G3r8y4(# yKoKjQ8q)J`i[r#@ 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. Compliance Programs - Federal Maritime Commission If rejected, a notice, together with the reasons therefore, shall be sent to the foreign-based unlicensed NVOCC. The Guarantor and/or Applicant specifically agree to file such written notice of cancellation. Based on BEIC audits results for the most recent period (January June, 2017), the most common issues encountered during the course of an OTI compliance audit are: Competition and Integrity for Americas Ocean Supply Chain, Ocean Shipping Reform Act of 2022 (OSRA) Implementation, Foreign NVOCC Registration Status Changes, Consumer Affairs & Dispute Resolution Services, Apply for or make changes to a License or Request a Foreign Registration, Historical Federal Maritime Commission Reports, Vessel-Operating Common Carrier (VOCC) Audit Program, Shipping Act and other statutes and regulations within the Commissions authority, Names and information concerning Qualifying Individual(s), Nature and extent of current operations of the OTI, Failure to update Non-Vessel-Operating Common Carrier (NVOCC) rates or maintaining a tariff that contains one rate applicable to Cargo NOS. The Commission will issue a license only in the name of the applicant, whether the applicant is a sole proprietorship, a partnership, a corporation, or limited liability company. 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. Location: FMC Natatorium Address: 275 Plaza Dr, Westmont, IL 60559 . Upon the request of any authorized representative of the Commission, an OTI shall make available promptly for inspection or reproduction all records and books of account in connection with its ocean transportation intermediary business, and shall respond promptly to any lawful inquiries by such representative. Helpful Hints 1. No licensed freight forwarder shall withhold any information concerning a forwarding transaction from its principal, and each licensed freight forwarder shall comply with the laws of the United States and shall exercise due diligence to assure that all information provided to its principal or provided in any export declaration, bill of lading, affidavit, or other document which the licensed freight forwarder executes in connection with a shipment is accurate. If the response to any question is yes, please attach an explanation. OTI cooperation during the audit is key to achieve prompt completion of the audit and any corrective actions. If the transferor will 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. How to Amend the Title/Business Address for an Existing Qualifying Individual 1. (c) Failure to provide necessary information and documents. Shippers, common carriers, and other affected persons may seek payment from the bond, insurance, or other surety maintained by an ocean transportation intermediary for damages arising out of its ocean transportation-related activities. All punch cards are non-refundable. 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. of this rider, equals $____. Qualifying Individual (QI) - Distribution-Publications, Inc. "The Federal Maritime Commission (FMC) is the independent federal agency responsible for regulating the U.S. international ocean transportation system for the benefit of U.S. exporters, importers, and the U.S. consumer." - FMC What does it mean for an NVOCC to have an FMC license? also telephone BCL, Office of Transportation Intermediaries, at (202) 523-5843 (a) Except as otherwise provided in this part, no person in the United States may advertise, hold oneself out, or act as an ocean transportation intermediary unless that person holds a valid license issued by the Commission. (2) Fees under this part shall be as follows: (i) Application for new OTI license as required by 515.12(a): Filing $250. 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. following individuals may be a qualifying individual: If applicant is Qualifying Individual (QI) What does it take to be a Qualifying Individual (QI)? You should familiarize of the change. If the applicant is a corporation or partnership, the names of the officers or partners thereof may be published. [80 FR 68734, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. A license may be revoked or suspended for any of the following reasons: (1) 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; (2) Failure to respond to any lawful order or inquiry by the Commission; (3) Making a materially false or misleading statement to the Commission in connection with an application for a license or an amendment to an existing license; (4) A Commission determination that the licensee is not qualified to render intermediary services; or. Apply for or make changes to a License or Request a Foreign 8, 1999, unless otherwise noted. (a) Licensees and registrants; names and numbers. Medicare provides four savings programs with different income and resource limits.

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