40902 and this part; and. Non-U.S.-based NVOCCs, unless licensed, are required to submit proof of financial responsibility in the amount of $150,000; it is recommended that the registered NVOCC use a licensed OTI for any OTI services performed on its behalf in the United States. 4. When a licensed freight forwarder is entitled to compensation, the forwarder shall provide the common carrier with a certification which indicates that the forwarder has performed the required services that entitle it to compensation. The Bureau of Enforcement, Investigation, and Compliance (BEIC) actively fosters industry compliance with theShipping Act and other statutes and regulations within the Commissions authority. There are four different types of Medicare Savings Programs, this page focuses on the Qualifying Individual (QI-1) Program. 40101-41309) (Shipping Act). 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. If more than six (6) The qualified individual must: (1) assess the child's needs and strengths, using an age-appropriate, evidence-based, validated, functional assessment approved by the commissioner of human services; (2) determine whether the child's needs can be met by the child's family members or through placement in a family foster home; or, if not, determine . Fill in, print and save an online form. (c) Common carriers. Guarantor shall pay, subject to the limit of the amount per OTI set forth in 46 CFR 515.21, directly to a claimant any sum or sums which Guarantor, in good faith, determines that the Applicant has failed to pay and would be held legally liable by reason of Applicant's transportation-related activities, or its legal responsibilities under the Shipping Act and the rules and regulations of the FMC, made by Applicant while this agreement is in effect, regardless of the financial responsibility or lack thereof, or the solvency or bankruptcy, of Applicant. You may Question 16 is an officer, director, partner, member, owner, stockholder, The qualifying individual must have telephone at(202) 523-5843 (Office of Transportation Intermediaries) or by fax writing to the Federal Maritime Commission, Bureau of Certification and (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. <iframe title="Intentionally Blank" src="https://www.googletagmanager.com/ns.html?id=GTM-MBGXM55" height="0" width="0" aria-hidden="true" style="display:none . A foreign-based NVOCC that elects to obtain a license must establish a presence in the United States by opening an unincorporated office that is resident in the United States and is qualified to do business where it is located. will bring you directly to the content. 515.2(i) and 515.2(l), 515.11(a),. considered a valid application unless it is signed. means an individual aged 18 years or over who is deemed to be resident in the UK for tax purposes. No application fee is required when reporting this change. The fee for such supplementary investigation is Define Qualifying Individual. ALL Copies of these documents may be obtained from the FMCs Bureau of The bond, insurance, or other surety covers the transportation-related activities of an ocean transportation intermediary. 5 Helpful. Such QI(s) must meet the applicable requirements set forth in 515.11(a) through (c). etc. Responsibility Requirements. and title of the proposed qualifying individual for the applicant. (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. Identify any person In witness whereof we have hereunto set our hands and seals on this day ____ of ____________, 20____, By: ________________________________________________, Optional Rider for Additional NVOCC Financial Responsibility for Group Bonds [Optional Rider to Form FMC-69]. Organization and Purpose 13. Jun. will bring you to those results. (2) An OFF that does not have a bond, insurance, or other surety as required by 46 U.S.C. A registration shall become automatically ineffective for a failure of a registered NVOCC to maintain proof of financial responsibility on file with the Commission. Applicants January 23, 2023 - Federal Maritime Commission 515.42 Forwarder and carrier compensation; fees. 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. A common carrier may pay compensation to a licensed freight forwarder only pursuant to such common carrier's tariff provisions. The QI must have no less than three years of experience processing freight shipments in the U.S. ocean trade lane. You are using an unsupported browser. (a) Licenses. if this is an application for a license transfer, this question must be You should familiarize DPI Copyright & Disclaimer Home / Knowledge Center / Qualifying Individual (QI) Such termination shall become effective thirty (30) days after receipt of said notice by the Commission. (c) Affiliates of intermediaries. an ocean transportation intermediary license. 46 U.S.C. The common carrier shall be entitled to rely on such certification unless it knows that the certification is incorrect. regulations. 5. <>>> Nomenclature changes to part 515 appear at 67 FR 39860, June 11, 2002, and 70 FR 7669, Feb. 15, 2005. 7. PDF Form FMC-18 OTI LICENSE APPLICATION WORKSHEET - FMC Agent Only one license shall be issued to any applicant regardless of the number of names under which such applicant may be doing business, and except as otherwise provided in this part, such license is limited exclusively to use by the named licensee and shall not be transferred without prior Commission approval to another person. A joint licensee. 40902 and this part. (i) Compensation; beneficial interest. documentation that will verify that fact, e.g. 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. Thereafter, registrations will be renewed for sequential three year periods upon submission of an updated registration form. completed application Form (FMC-18) to the Federal Maritime Commission, Bureau The Office of the Federal Register publishes documents on behalf of Federal agencies but does not have any authority over their programs. If you answered in the affirmative, FMC Regulations & Statutes - Federal Maritime Commission 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. 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. 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. This includes a non-resident who performs duties which by virtue of Section 28 of the Income Tax (Earnings & Pensions) Act 2003 are treated as being performed in the UK (Crown employees serving overseas) or is married to, or is in a civil partnership with a person . 20. Many of our PDF forms and applications can be completed online. transferring licensee.). (a) Notice of shipper affiliation. [64 FR 11171, Mar. conglomerates must submit a list of all subsidiaries and affiliations printed After age 65 you can use your health savings account for any expense, you'll simply pay ordinary income taxesjust like a 401 (k). fmc qualifying individual 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. 41107-41109). Part 515 of A rider to the bond should list the qualifying branch address in the United States. (a) Licensees and registrants; names and numbers. All punch cards are non-refundable. PDF Individual Free Miner Certificate Application Form - Gov 515.17 Hearing procedures governing denial, revocation, or suspension of OTI license. firm, please identify the person/firm and explain the relationship, e.g. 41107-41109). The Commission may also seek payment of civil penalties assessed under section 13 of the Shipping Act (46 U.S.C. (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. University of Central Florida Instructional Technology - Glassdoor The Form FMC-18 is not To be eligible for an ocean transportation intermediary license, the applicant must demonstrate to the Commission that: (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. Tariq I. Belion, Qualifying Individual (QI) Easha Belion, President Application Type: New NVO & OFF License. More specific policies and procedures for . 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. endobj 9th Floor. 2. (b) Optional bond rider. (e) Other changes. % They will have to be provisionally registered with PMC before the start of . preclude licensing. supplemental pages. (b) Notice. information or personal data. (b) Information obtained under this part is used to determine the qualifications of ocean transportation intermediaries and their compliance with shipping statutes and regulations. 515.91 OMB control number assigned pursuant to the Paperwork Reduction Act. A person cannot be certified for any other Medicaid-funded program and the QI program at the same time. Federal Maritime Commission no longer operate as a business provide dissolution papers. (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. (d) Federal military and civilian household goods. 41107-41109). No license will be issued until the Commission is in receipt of valid proof of financial responsibility. PDF Who Is a Qualifying Person Qualifying You To File as Head of Household? are deleting a trade name, clearly specify the name being deleted. consider the application to be void. licensed. (b) Certification required for compensation. U.S. Customs and Border Protection. QI Information - DPI Courses 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. application, e.g. If the violation is willfully and knowingly committed, in which case guide. PDF Qualifying Individuals - Mortgage.nationwidelicensingsystem.org application. 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. Persons who have had a registration rejected may submit a new registration at any time. and continue entering the information. ZI])(. 18. In accordance with that Act, agencies are required to display a currently valid control number. [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]. full text search results Such notices may include or attach other information relevant to the claim. (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). The time needed to complete and file this form will vary depending on individual circumstances. (2) The arrangement is not an artifice for a payment or other unlawful benefit to the principal. Any person whose primary business is the sale of merchandise may, without a license, dispatch and perform freight forwarding services on behalf of its own shipments, or on behalf of shipments or consolidated shipments of a parent, subsidiary, affiliate, or associated company. OTIs. 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. 515.2(i) and 515.2(l), 515.11(a)). A license number should be provided only by those persons who are already 14. 19. trade name or adding a trade name, you must attach the appropriate 40101-41309) (Shipping Act). Certification and Licensing (BCL) or can be found on the Commissions website substance. 1 0 obj A Fictitious Name Statement). 46 CFR 515.11 - Basic requirements for licensing; eligibility. If the applicant is a corporation or partnership, the names of the officers or partners thereof may be published. Updated June 20, 2022. 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. the response to any question is yes, please attach an explanation. (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. 155.1026 Qualified individual and alternate qualified individual. Under FRP, what is the definition of a qualified individual? forwarder, or in air freight forwarding, custom house brokerage, or motor 40101-41309)) (Shipping Act). To 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. (e) Foreign-based licensed NVOCC. 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. The insurance evidenced by this undertaking shall be applicable only in relation to incidents occurring on or after the effective date and before the date termination of this undertaking becomes effective. (b) Filing of license application forms. Except for the automatic revocation for termination of proof of financial responsibility under 515.26, a license may be revoked or suspended after notice and an opportunity for a hearing under the procedures of 515.17. 4. Decide on what kind of signature to create. U.S. Department of Transportation Federal Aviation Administration 800 Independence Avenue, SW Washington, DC 20591 1-866-TELL-FAA (1-866-835-5322) unrelated to the qualifying individual or applicant, who can verify the duties completed. Identify whether applicant, (d) In-plant arrangements. No OTI shall prepare or file or assist in the preparation or filing of any claim, affidavit, letter of indemnity, or other paper or document concerning an ocean transportation intermediary transaction which it has reason to believe is false or fraudulent, nor shall any such OTI knowingly impart to a principal, shipper, common carrier or other person, false information relative to any ocean transportation intermediary transaction. (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. 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. (d) Invoices; documents available upon request. (ii) Only with respect to those commodities. acceptable include experience gained overseas (import) as an ocean freight Failure of the applicant to submit the identified materials by the established date will result in the closing of its application without further processing. 3411; 21 U.S.C. Apply Today To learn more about working at FMC, visit our Careers page. An affiliation is deemed to exist if any person listed in (For license transfers, the information will be that of the Indicate all entities of any type whether in the United license, state the name of the existing company whose license is being Officers: Luis A. Marquez, President, (Qualifying Individual). (1) Any person who wishes to obtain a license to operate as an ocean transportation intermediary shall submit electronically a completed application Form FMC-18 (Application for a License as an Ocean Transportation Intermediary) in accordance with the automated FMC-18 filing system and corresponding instructions. Learn more about the eCFR, its status, and the editorial process. In witness whereof we have hereunto set our hands and seals on this ____________day of ____, 20____. [80 FR 68736, Nov. 5, 2015, as amended at 85 FR 9683, Feb. 20, 2020]. Helpful Hints 1. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. The identity of the shipper must always be disclosed in the shipper identification box on the bill of lading. application to make certain that all applicable parts have been completed and 13. The Register contains details of all mediators who hold FMCA (qualified) status, plus those who have completed approved initial training and are working towards FMCA. (4) Permit any such person, directly or indirectly, to participate, through ownership or otherwise, in the control or direction of the ocean transportation intermediary business of the licensee or registrant. FMC Natatorium - events Copies of this form will be maintained until the corresponding license has been revoked. This evidence of financial responsibility shall be accompanied by: in the case of a financial rating, the Insurer's financial rating on the rating organization's letterhead or designated form; in the case of insurance provided by Underwriters at Lloyd's, documentation verifying membership in Lloyd's; and in the case of insurance provided by 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. Please do not provide confidential 8. 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. The section also explains the General Duties for The effective date of this undertaking shall be ____ day of ____, ____, and shall continue in effect until discharged or terminated as herein provided. Filing of proof of financial responsibility. Failure to comply with Replacement or additional qualifying individual. (b) To whom issued. (d) Arrangements with ocean transportation intermediaries whose licenses have been revoked. approved. A group or association of ocean transportation intermediaries may also file an optional bond rider as provided in 515.25(b). made within 45 days from receipt of the application, assuming the application The Insurer shall not be liable for any transportation-related activities under the Shipping Act of the Insured after the expiration of the 30-day period but such termination shall not affect the liability of the Insured and Insurer for such activities occurring prior to the date when said termination becomes effective. - Download the Root Cert and Intermediate Root (if you have one) - Upload the Root + Int Root to FMC. endobj (4) Limited liability company. 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. 40101-41309), or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. 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. A qualifying individual must have at least three years of demonstrable OTI experience and, depending on the applicants business structure, be an officer of the applicants corporation, the sole proprietor of a sole proprietorship, the manager or member in (respectively) a manager-managed or member-managed LLC, or a partner in a partnership. Medicare provides four savings programs with different income and resource limits. Persons who have had their applications rejected may submit a new Form FMC-18 at any time, together with the required filing fee. In the event of deletions to Appendix A, termination of coverage for such OTI(s) shall become effective 30 days after receipt of written notice by the Commission.
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fmc qualifying individual