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. Last Updated 6/24/2013 Page 3 Note: After edits are made to Qualifying Individuals use the Undo ( ) icon to undo changes made. Submit Form FMC-18 and the required license application fee. 5. 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. Please click here to be redirected. (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. transferred from (transferor) and identify the company which will receive the Any unreported change may delay the processing and investigation of the application and result in rejection, closing, or denial of the application. (d) Arrangements with ocean transportation intermediaries whose licenses have been revoked. (ii) The ocean transportation intermediary fails to respond within forty-five (45) days from the date of the notice of the claim to address the validity of the claim, and the financial responsibility provider deems the claim valid. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. 40501 and part 520 of this chapter, and a bond, insurance, or other surety as required by 46 U.S.C. The initial renewal of an OTI license can take place no sooner than one-year and no later than four-years from issuance. The licensed or registered NVOCC and each licensed freight forwarder may maintain these records in either paper or electronic form, which shall be readily available in usable form to the Commission; the electronically maintained records shall be no less accessible than if they were maintained in paper form. Q-5000, Qualifying Individuals (QIs) Printer-friendly version. 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. Ocean Transportation Intermediary (OTI) Bond (Section 19, Shipping Act of 1984 (46 U.S.C. 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. Officer: Matthew A. Keces, Sole Proprietor, (Qualifying Individual). without processing. In no event shall the Surety's obligation under this Rider exceed the amount set forth in section 1a regardless of the number of claims. (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). Where more than one person operates under a common trade name, separate proof of financial responsibility is required covering each corporation or person separately providing ocean transportation intermediary services. legal name of the applicant must be shown in this section. branch office, this question must be answered in the affirmative Holding companys identify affiliations that are Application Type: New OFF License. The term "qualifying individual" (QI) is added and defines QI as an individual who meets the Shipping Act's experience and character requirements. members of large organization or are affiliated with international <>>> This content is from the eCFR and is authoritative but unofficial. proposing more than one qualifying individual complete Part D for each Incorporated branch offices must be The Commission has received OMB approval for this collection of information pursuant to the Paperwork Reduction Act of 1995, as amended. 515.25 Filing of proof of financial responsibility. When a licensed freight forwarder is a shipper or seller of goods in international commerce or affiliated with such an entity, the licensed freight forwarder shall have the option of: (1) Identifying itself as such and/or, where applicable, listing its affiliates on its office stationery and billing forms, or. The common carrier shall be entitled to rely on such certification unless it knows that the certification is incorrect. attached to the Form FMC-18. 40901-40904), and the rules and regulations of the Federal Maritime Commission relating to evidence of financial responsibility for OTIs (46 CFR part 515), this guaranty shall be available to pay any judgment obtained or any settlement made pursuant to a claim under 46 CFR 515.23 for damages against the Applicant arising from the Applicant's transportation-related activities under the Shipping Act, or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. application to make certain that all applicable parts have been completed and The Commission will update this list on a periodic basis. (2) Registrations. Licenses shall be issued for an initial period of not less than one year and not greater than four years as determined by the license number and published on the Commission website. If the transferor will Such hearing shall be provided pursuant to the procedures contained in 515.17. (2) An ocean transportation intermediary must report branch offices to the Commission in Form FMC-18 or under the procedures in 515.20(e). 12. After all Parts of the application have been completed and the application has been submitted, you must submit the required. Failure to follow the provisions of this part may result in denial, revocation or suspension of an ocean transportation intermediary license or registration. [80 FR 68733, Nov. 5, 2015, as amended at 84 FR 62467, Nov. 15, 2019]. the response to any question is yes, please attach an explanation. the amount of the civil penalty may increase to $30,000 for each violation. [64 FR 11171, Mar. 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. (b) Service of administrative process, other than subpoenas, may be effected upon the legal agent by dispatching a copy of the document to be served by mail or courier service. Sole proprietorships must show The Medicare . If the applicant 15. No person may advertise or hold out to act as an OTI unless that person holds a valid OTI license or is registered under this part. Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. 40101-41309) (Shipping Act). an ocean transportation intermediary license. 1 0 obj seeks a change in business structure, license transfer, or name change. of the change. (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. Neither the Principal nor the Surety shall be liable for any transportation-related activities of the OTI(s) deleted from Appendix A that occur 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 of said OTI(s) occurring prior to the date when said termination becomes effective. (2) Any other appropriate procedure, provided that such procedure is set forth in the carrier's tariff. You can also expect the Commission to contact the references for the documentation supporting that name (e.g. $225. Define Qualifying Individual. (g) Response to requests of Commission. OMB control number assigned pursuant to the Paperwork Reduction Act. [64 FR 11171, Mar. This is an optional form. 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. The Guarantor 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 covered ocean transportation intermediary as specified under the Act. 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. (o) Principal refers to the shipper, consignee, seller, or purchaser of property, and to anyone acting on behalf of such shipper, consignee, seller, or purchaser of property, who employs the services of a licensed freight forwarder to facilitate the ocean transportation of such property. LII Electronic Code of Federal Regulations (e-CFR) Title 46 - Shipping CHAPTER IV - FEDERAL MARITIME COMMISSION SUBCHAPTER B - REGULATIONS AFFECTING OCEAN SHIPPING IN FOREIGN COMMERCE PART 515 - LICENSING, REGISTRATION, FINANCIAL RESPONSIBILITY REQUIREMENTS AND GENERAL DUTIES FOR OCEAN TRANSPORTATION INTERMEDIARIES 8. Copies of this form will be maintained until the corresponding license has been revoked. To receive the program benefits,. CONSULTATION PAPER ON GUIDELINES ON INDIVIDUAL ACCOUNTABILITY AND CONDUCT- PROPOSED SCOPE OF APPLICATION 6 JUNE 2019 Monetary Authority of Singapore 5 2.3 As the underlying principles of clarity in individual responsibilities and proper conduct are applicable across the financial sector, in addition to the list of FIs set out under 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. The Faculty Multimedia Center (FMC) is a do-it-yourself . (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. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. 41301-41302, 41305-41307(a)), and to the benefit of the Federal Maritime Commission for any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. Such termination shall become effective thirty (30) days after receipt of said notice by the Commission. Replacement or additional qualifying individual. ( p) Qualifying individual (QI) means an individual who meets the experience and character requirements of section 19 of the Shipping Act ( 46 U.S.C. should be reported as soon as possible to preclude any processing delay that In this case, BEIC will follow-up with the OTI in an attempt to resolve any non-compliant aspects of the OTIs operations. and continue entering the information. Unless prior written approval from the Commission has been obtained, no OTI shall, directly or indirectly: (1) Agree to perform ocean transportation intermediary services on shipments as an associate, correspondent, officer, employee, agent, or sub-agent of any person whose license has been revoked or suspended pursuant to 515.16, or registration terminated or suspended pursuant to 515.19(g); (2) Assist in the furtherance of any ocean transportation intermediary business of an OTI whose license has been revoked; (3) Share forwarding fees or freight compensation with any such person; or. 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. 41107-41109). Subscribe to: Changes in Title 46 :: Chapter IV :: Subchapter B :: Part 515. Follow the step-by-step instructions below to design your 13a cslb form: Select the document you want to sign and click Upload. Position the qualifying individual holds as a corporate officer, member, or active partner: (Attach proof of position held i.e., minutes from meeting electing the officers) 12. 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. The bond, insurance, or other surety may be available to pay such claim if: (i) The ocean transportation intermediary consents to payment, subject to review by the financial responsibility provider; or. The Commission shall conduct an investigation of the applicant's qualifications for a license. The application process includes detailed reporting of your company's organizational structure and management. The Insurer consents to be sued directly in respect of any bona fide claim owed by Insured for damages, reparations or penalties arising from the transportation-related activities under the Shipping Act, of Insured in the event that such legal liability has not been discharged by the Insured or Insurer after a claimant has obtained a final judgment (after appeal, if any) against the Insured 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 Insured and/or Insurer pursuant to 46 CFR 515.23, whereby, upon payment of the agreed sum, the Insurer is to be fully, irrevocably and unconditionally discharged from all further liability to such claimant; provided, however, that Insurer's total obligation hereunder 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. Figure 5: Modify Qualifying Individual How to Remove a Qualifying Individual 1. This web site is designed for the current versions of Such termination shall become effective thirty (30) days after receipt of said notice and proof of transmission by the Federal Maritime Commission. Failure to comply with 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. Each licensed or registered NVOCC and each licensed ocean freight forwarder shall maintain in an orderly and systematic manner, and keep current and correct, all records and books of account in connection with its OTI business. 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. SAF/FM Sub-Organizations. or entity of any type whether in the United States or abroad that is affiliated ____, issued by the Federal Maritime Commission and has performed the following services: (1) Engaged, booked, secured, reserved, or contracted directly with the carrier or its agent for space aboard a vessel or confirmed the availability of that space; and. For the purposes of this part, the term: (1) Ocean freight forwarder (OFF) means a person that -, (i) In the United States, dispatches shipments from the United States via a common carrier and books or otherwise arranges space for those shipments on behalf of shippers; and, (ii) Processes the documentation or performs related activities incident to those shipments; and. 5 Helpful. 18. The applicant must obtain (n) Person means individuals, corporations, companies, including limited liability companies, associations, firms, partnerships, societies and joint stock companies existing under or authorized by the laws of the United States or of a foreign country. must match exactly the legal name of the applicant including abbreviations and A registration shall not become effective until the applicant has furnished proof of financial responsibility pursuant to 515.21, has submitted a Form FMC-1, and its published tariff becomes effective pursuant to 46 CFR part 520. [80 FR 68736, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. The valid control number for this collection of information is 3072-0018. Should applicant fail to file the requisite proof of financial Where we note significant misconduct we refer these matters to the appropriate disciplinary bodies. regulations. you can't claim him or her as a dependent not a qualifying person. <> The hearing will be adjudicated under the procedures set forth in subpart X of part 502 of this chapter. (5) Failure to honor the licensee's financial obligations to the Commission. 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. Such notices may include or attach other information relevant to the claim. 515.91 OMB control number assigned pursuant to the Paperwork Reduction Act. 2. (2) Non-vessel-operating common carrier (NVOCC) means a common carrier that does not operate the vessels by which the ocean transportation is provided, and is a shipper in its relationship with an ocean common carrier. [80 FR 68736, Nov. 5, 2015, as amended at 85 FR 9683, Feb. 20, 2020]. Applicants that are Decide on what kind of signature to create. name must be submitted with an initial application or where the application Use a different letter for each qualifying individual (i.e., A5, to include the proper fee with your application will cause it to be returned (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.
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