(Please type name of signer under each signature). An official document supporting the legal name shall be
(202) 523-5843 before filing your application. This document is available in the following developer friendly formats: Information and documentation can be found in our If a question within a Part is not applicable,
(u) Special contract is a contract for ocean freight forwarding services which provides for a periodic lump sum fee. All punch cards are non-refundable. No license will be issued until the Commission is in receipt of valid proof of financial responsibility. Such person shall not receive compensation from the common carrier for any services rendered in connection with such shipments. (ii) Only with respect to those commodities. (Name of Agent) ____ domiciled in the United States, with offices located in the United States, at ____ is hereby designated as the Insurer's agent for service of process for the purposes of enforcing the Insurance certified to herein. if this is an application for a license transfer, this question must be
FMC-18, including any attachments, must be submitted in duplicate with all
license, state the name of the existing company whose license is being
(D) By other means authorized by the Director of the Commission's Office of Budget and Finance. (m) Ocean transportation intermediary (OTI) means an ocean freight forwarder or a non-vessel-operating common carrier. 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. (A) Money order, certified, cashier's, or personal check payable to the order of the Federal Maritime Commission;, (C) The Automated Clearing House system; or. 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. 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. 515.26 Termination of financial responsibility. 305, 40102, 40104, 40501-40503, 40901-40904, 41101-41109, 41301-41302, 41305-41307; Pub. In addition to applying for an FMC, you will also need a business BCeID account. (a) Grounds. Each day of a continuing violation shall constitute a separate violation. Persons operating without the proper license or registration may be subject to civil penalties not to exceed $9,000 for each such violation, unless the violation is willfully and knowingly committed, in which case the amount of the civil penalty may not exceed $45,000 for each violation; for other violations of the provisions of this part, the civil penalties range from $9,000 to $45,000 for each violation (46 U.S.C. If the applicant is a corporation or partnership, the names of the officers or partners thereof may be published. 2022 Distribution-Publications, Inc. All rights reserved. *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. (i) From the United States means oceanborne export commerce from the United States, its territories, or possessions, to foreign countries. Follow the step-by-step instructions below to design your 13a cslb form: Select the document you want to sign and click Upload. 8. (b) Receipt for cargo. This group bond shall inure to the benefit of any and all persons who have obtained a judgment or made a settlement pursuant to a claim under 46 CFR 515.23 for damages against any or all of the OTIs identified in Appendix A not covered by said OTIs' insurance policy(ies), guaranty(ies) or surety bond(s) arising from said OTIs' transportation-related activities under the Shipping Act, or order for reparation issued pursuant to section 11 of the Shipping Act, and to the benefit of the Federal Maritime Commission for any penalty assessed against said OTIs pursuant to section 13 of the Shipping Act (46 U.S.C. Ocean Transportation Intermediary (OTI) Group Supplemental Coverage Bond Form (Shipping Act of 1984 (46 U.S.C. (1) A licensee operating as an NVOCC and a freight forwarder, or a person related thereto, may collect compensation when, and only when, the following certification is made together with the certification required under paragraph (c) of this section: The undersigned certifies that neither it nor any related person has issued a bill of lading or otherwise undertaken common carrier responsibility as a non-vessel-operating common carrier for the ocean transportation of the shipment covered by this bill of lading. The underwriting Surety will promptly notify the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, in writing by mail or email (bcl@fmc.gov), of all claims made, lawsuits filed, judgments rendered, and payments made against this group bond. (h) Non-vessel-operating common carriers; compensation. 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. Completed application Form FMC-18 and $250.00 fee. (d) Compensation pursuant to tariff provisions. 3, Part B. Whereas, the Insured is or may become an OTI subject to the Shipping Act and the rules and regulations of the Federal Maritime Commission, or is or may become a group or association of OTIs, and desires to establish financial responsibility in accordance with section 19 of the Shipping Act (46 U.S.C. 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. A6, A7, B5, B6, B7, etc). 3. (i) Compensation; beneficial interest. (e) Changes in fact. Track record and fund management expertise of the applicant and its parent company or major shareholders. months lapse between the date of notification of approval of an application and
13. 41301-41302, 41305-41307(a)), or any penalty assessed against the Insured pursuant to section 13 of the Shipping Act (46 U.S.C. The acceptance or solicitation of any other shipments is expressly prohibited until a new license has been issued. (c) Common carriers. (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. are deleting a trade name, clearly specify the name being deleted. Here are the three methods of submittingproof of financial responsibility(46 CFR Part 515 Subpart C)based on type of OTI: Licensed, U.S.-based NVOCCs and OFFsare required to submit proof of financial responsibility (most likely in the form of a surety bond), in the amount of $50,000 (for an ocean freight forwarder license) or $75,000 (for NVOCC license). (a) Disclosure of principal. (b) Information obtained under this part is used to determine the qualifications of ocean transportation intermediaries and their compliance with shipping statutes and regulations. Each licensee and registrant shall carry on its business only under the name in which it was licensed or registered and only under its license or registration number as assigned by the Commission. (2) Whenever a person acts in the capacity of an NVOCC as to any shipment, such person shall not collect compensation, nor shall any underlying ocean common carrier pay compensation to such person, for such shipment. Such termination shall become effective thirty (30) days after receipt of said notice by the Commission. ____ to the United States of America and filed with the Federal Maritime Commission pursuant to section 19 of the Shipping Act of 1984 is modified as follows: 1. A common carrier may pay compensation to a licensed freight forwarder only pursuant to such common carrier's tariff provisions. discretion, undertake a supplementary investigation to determine the continued
Following is a list of
If the response to any question is yes, please attach an explanation. Location: FMC Natatorium Address: 275 Plaza Dr, Westmont, IL 60559 . All application forms are to be filed electronically. 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. (g) Freight forwarding fee means charges billed by an ocean freight forwarder to a shipper, consignee, seller, purchaser, or any agent thereof, for the performance of freight forwarding services. name must be submitted with an initial application or where the application
They will have to be provisionally registered with PMC before the start of . No OTI shall permit its name, license, license number, registration, or registration number to be used by any person who is not an employee or an agent of the OTI. parent
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. A license will be issued after the Commission has received acceptable
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 . %PDF-1.6
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(e) Electronic data interchange. ( 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. 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. Sole proprietors should also complete the Certification at the top
Failure to follow the provisions of this part may result in denial, revocation or suspension of an ocean transportation intermediary license or registration. Holding companys identify affiliations that are
c. The total amount of coverage available under this Bond and all of its riders, available pursuant to the terms of section 1(a.) 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. (b) Agents, employees, or branch offices of an ocean transportation intermediary. 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. (b) Arrangements with unauthorized persons. If this is an
(d) Designations of legal agent under paragraphs (a) and (b) of this section and provisions relating to service of process under paragraph (c) of this section shall be published in the ocean transportation intermediary's tariff, when required, in accordance with part 520 of this chapter. 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. A Qualifying Individual Group 1, or QI-1, is a low-income eligibility category under the Medicare Savings Program. It is highly Replacement or additional qualifying individual. Click the Save button (see Figure 5). 40902 and this part. It is a violation of the Commission's regulations implementing the Shipping Act for a foreign-based unlicensed non-vessel-operating common carrier to provide NVOCC services in the U.S. foreign trade without a valid registration and an effective tariff. business in the United States in order to be approved. - Sign the CSR request from Internal CA. Identify any person
40101-41309) (Shipping Act). required to be listed. 40901-40904) and this part. (a) Notice of shipper affiliation. (4) Limited liability company. 40901-40904), files this bond with the Federal Maritime Commission; Whereas, this group bond is written to ensure compliance by the OTIs, enumerated in Appendix A of this bond, with section 19 of the Shipping Act (46 U.S.C. a. The underwriting Surety will promptly notify the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, in writing by mail or email (bcl@fmc.gov), of all claims made, lawsuits filed, judgments rendered, and payments made against this bond. Order Here Open Lap Swim / Conditioning Membership: $60.00 Monthly 5. 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. officer, director, or stockholder and the percentage of ownership. However, minutes can serve as a useful summary of the meeting for future business-related reference. performed by the qualifying individual. [64 FR 11171, Mar. U.S.-based companies or sole proprietors operating as Ocean Freight Forwarders (OFF) or Non-Vessel-Operating Common Carriers (NVOCCs) are required to obtain a license from the FMC. 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. "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? forwarder, NVOCC, etc. A Fictitious Name Statement). If you are changing your
No fee shall be charged for reporting such changes. attached to the Form FMC-18. 6, 2004; 80 FR 68735, Nov. 5, 2015; 85 FR 9683, Feb. 20, 2020]. . individual is submitting for consideration. The common carrier shall retain such certifications for a period of five (5) years. (d) The Federal Maritime Commission shall not serve as depository or distributor to third parties of bond, guaranty, or insurance funds in the event of any claim, judgment, or order for reparation. 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. For example, if a reference does not confirm the qualifying individual's experience to the FMC's satisfaction, a replacement reference can be used. 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. 8. Submission is completely voluntary. These recordkeeping requirements are independent of the retention requirements of other federal agencies. 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. An applicant may request a hearing on the proposed denial by submitting to the Secretary, Federal Maritime Commission, Washington, DC 20573, within twenty (20) days of the date of the notice, a statement of reasons why the application should not be denied. [80 FR 68734, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. (d) Arrangements with ocean transportation intermediaries whose licenses have been revoked. 14. If the Commission denies the application, such denial is final and not subject to the hearing procedures described in 515.15 and 515.17. (d) Federal military and civilian household goods. In any other instance where it is necessary to attach a supplemental
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. 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. 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. A common carrier shall not pay compensation for the services described in paragraph (c) of this section more than once on the same shipment. of Page 10 pertaining to the distribution or possession of a controlled
This Insurance Form has been filed with the Federal Maritime Commission. 12. 2. For corporations, the Articles
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. telephone at(202) 523-5843 (Office of Transportation Intermediaries) or by fax
Every NVOCC must employee at least one company officer as a Qualifying Individual (QI) for FMC licensing purposes. licensed. (a) Who may seek payment. Write your awesome label here. 41107-41109). If this is an initial application for a license, the change
8, 1999, as amended at 78 FR 42888, July 18, 2013], (a) Filing of proof of financial responsibility -. and continue entering the information. We are also republishing a certification process pertaining to. 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. without processing. Contact your local broker Management Officer or the Broker Management Branch for inquiries on the change of address to: Broker Management Branch. More specific policies and procedures for . Under FRP, what is the definition of a qualified individual? 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. 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. 2 0 obj
application for a name change or license transfer, please enter the name of the
Each applicant shall be investigated in accordance with 515.13. 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). (h) Express written authority. Dollars or Renminbi Yuan at the option of the Surety) shall be available to pay any fines and penalties for activities in the U.S.-China trades imposed by the Ministry of Communications of the People's Republic of China (MOC) or its authorized competent communications department of the people's government of the province, autonomous region or municipality directly under the Central Government or the State Administration of Industry and Commerce pursuant to the Regulations of the People's Republic of China on International Maritime Transportation and the Implementing Rules of the Regulations of the PRC on International Maritime Transportation promulgated by MOC Decree No. (d) Acquisition of one or more additional licensees. Payment under this Rider shall not reduce the bond amount in the first paragraph of this Bond or affect its availability. (b) A registration form which appears, upon submission, to be substantially incomplete may be rejected. (2) Registrations. (a) The response plan must identify a qualified individual and at least one alternate who meet the requirements of this section. 40101-41309. 2021. (e) Every ocean transportation intermediary using a group or association of ocean transportation intermediaries to cover its financial responsibility requirement under 515.21(b) shall publish the name and address of the group or association's resident agent for receipt of judicial and administrative process, including subpoenas, in its tariff, when required, in accordance with part 520 of this chapter. 40902 and this part; or. Learn about the role of the QI in FMC licensing applications. an ocean transportation intermediary license. If you are changing
If you have questions for the Agency that issued the current document please contact the agency directly. (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. 13. If the applicant is a corporation or partnership, the names of the officers or partners thereof may be published. Incomplete applications will usually be returned within a
This Bond remains in full force and effect according to its terms except as modified above. is available with paragraph structure matching the official CFR 40902 and this part; or, (B) an OFF that does not have a bond, insurance, or other surety as required by 46 U.S.C. Many of our PDF forms and applications can be completed online. 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 C 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. (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. 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 bond 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 Principal arising from the Principal'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. [80 FR 68731, Nov. 5, 2015, as amended at 85 FR 9683, Feb. 20, 2020]. 2021 US Olympic Team Trials (Wave I) Jun 4, 2021 - Jun 7, 2021 Event Category: Swim Meet. Privacy Act and Paperwork Reduction Act Notice. (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. the hierarchy of the document. (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. surrendered, must complete Question No. week. When a common carrier's tariff provides for the payment of compensation, such compensation shall be paid on any shipment forwarded on behalf of others where the forwarder has provided a certification as prescribed in paragraph (c) of this section and the shipper has been disclosed on the bill of lading as provided for in paragraph (a) of this section. existence for more than one year. 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. 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.