The QI program is a Medicare savings program. Submit electronically Form FMC-18: Application for a License as an Ocean Transportation Intermediary. 862. Whereas, this Guaranty is written to ensure compliance by the Applicant with section 19 of the Shipping Act (46 U.S.C. 8, 1999, as amended at 74 FR 50719, Oct. 1, 2009; 80 FR 68730, Nov. 5, 2015; 84 FR 62467, Nov. 15, 2019]. 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. yourself with the rules and regulations pertaining to ocean transportation 40901-40904). You can also expect the Commission to contact the references for the proof of financial responsibility upon notification by the Commission that the Administrative subpoenas shall be served in accordance with 502.134 of this chapter. Q-5000, Qualifying Individuals (QIs) Printer-friendly version. The experts in U.S. Federal Maritime regulations since 1975. 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. Decide on what kind of signature to create. Signature of Official signing on behalf of Insurer. export shipper, steamship agent, air freight (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. is also required for applications seeking approval of a change in business 19. [64 FR 11171, Mar. ), Ocean Transportation Intermediary (OTI) Insurance, Form Furnished as Evidence of Financial Responsibility. _/g6!k\gq}{71 AcN+--A*6UuPi]a?lB2rCAU+xd0Q; Documentation MIC Freight Brokers, Inc (OFF), 8201 NW 66th Street, #6, Miami, FL 33166. 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. For purposes of this paragraph, it is sufficient that a person seeking to serve process on an ocean transportation intermediary, or group of such intermediaries, affirm to the Commission's Secretary that: they have contacted, or attempted to contact, the designated agent to confirm whether it remained authorized to accept service of process; or, if no legal agent is designated in the tariff, that it has no knowledge of the identity of the ocean transportation intermediary's legal agent. 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 68732, Nov. 5, 2015, as amended at 84 FR 62467, Nov. 15, 2019]. (viii) Failure to designate and maintain a person in the United States as legal agent for the receipt of judicial and administrative process, including subpoenas, as required by 515.24. supplemental pages. Learn more about the eCFR, its status, and the editorial process. The Commission may contact these This Guaranty shall be governed by the laws in the State of ____ to the extent not inconsistent with the rules and regulations of the FMC. 1/1.1 If you answered in the affirmative, (3) Though the foregoing license renewal process is not intended to result in a re-evaluation of a licensee's character, the Commission may review a licensee's character at any time, including at the time of renewal, based upon information received from the licensee or other sources. If you have comments concerning the accuracy of these time estimates or suggestions for making this form simpler, we would be happy to hear from you. (a) Licenses. Licensed, Non-U.S.-based NVOCCsare required to submit proof of financial responsibility in the amount of $75,000. 155.1026 Qualified individual and alternate qualified individual. In such cases, a group or association must establish financial responsibility in an amount equal to the lesser of the amount required by paragraph (a) of this section for each member, or $3,000,000 in aggregate. <> Application For Replacing The Qualifying Individual -CSLB Home OnlineServices WebApplication InteractivePDFs ApplicationForReplacingTheQualifyingIndividual Application For Replacing The Qualifying Individual Easy-Fill Application IMPORTANT NOTICE REGARDING CONVICTIONS PLEASE READ CAREFULLY This web site is designed for the current versions of Medicare Savings Program - Qualifying Individual (QI-1) Program - Colorado qualify, it is suggested that you review 46 C.F.R. A second qualifying individual may qualify on behalf of the company with 5 or more years of experience or with 2 to 4 years of experience by taking an exam administered by the Division . The estimated average time is: Recordkeeping, 20 minutes; Learning about the form, 20 minutes; Preparing and sending the form to the FMC, 20 minutes. Incomplete applications will usually be returned within a 515.18 Application after revocation or denial. ZI])(. The Qualifying Individual or QI program is a Medicare savings program (MSP). The Form FMC-18 is not 13. 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. If more than six (6) Fill in, print and save an online form. Such termination shall become effective thirty (30) days after receipt of said notice by the Commission. In the event an application is closed as a result of the applicant's failure to provide information or documents necessary to complete processing, the filing fee will not be returned. 8.Second Qualifying Individual (Optional) The company has the option to qualify a second individual. (d) Acquisition of one or more additional licensees. without processing. Create your signature and click Ok. Press Done. In the event a licensee acquires one or more additional licensees, for the purpose of merger, consolidation, or control, the acquiring licensee shall advise the Commission of such acquisition, including any change in ownership, within 30 days after such change occurs by submitting an amended Form FMC-18. 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. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. Copies of these documents may be obtained from the FMCs Bureau of Please list any organization 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. (a) Disclosure of principal. V6Z 2G3 If your application and fees are accepted, you will be issued an FMC and client number. If applicant intends There is no fee for filing changes to pending Bonds must be issued by a surety company found acceptable by the Secretary of the Treasury; (b) Insurance, by filing with the Commission evidence of insurance on Form FMC-67. 515.2(i) and (l) of the A branch office of an OTI may use the license of the OTI, provided that the address of the branch office has been reported to the Commission in Form FMC-18 or pursuant to 515.20(e). If Examples of work experience that are not considered The qualifying individual's experience must have been gained in the United States. fill out this section. 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. LLC meeting minutes keep a written record of all consequential discussions, votes, and actions that occurred throughout a limited liability company (LLC) meeting. %PDF-1.6 % 6. The following changes in an existing licensee's organization require prior approval of the Commission, and application for such status change or license transfer shall be made on Form FMC-18, filed with the Commission's Bureau of Certification and Licensing, and accompanied by the fee required under 515.5(c): (1) Transfer of a corporate license to another person; (2) Change in ownership of a sole proprietorship; (3) Any change in the business structure of a licensee from or to a sole proprietorship, partnership, limited liability company, or corporation, whether or not such change involves a change in ownership; (4) Any change in a licensee's name, including adding or deleting a trade name relating to its OTI services; or. Everest Transportation Systems, LLC . Identify three persons, The following condition is added to this Bond: a. 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. The identity of the shipper must always be disclosed in the shipper identification box on the bill of lading. Identify whether applicant, Fund Management Licensing and Registration - Monetary Authority Of 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. 2. 41107-41109). The qualifying individual of one active licensee shall not also be designated as the qualifying individual of an applicant for another ocean transportation intermediary license, unless both entities are commonly owned or where one directly controls the other. or fax at (202) 566-0011. 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. 33 CFR 155.1026 - Qualified individual and alternate qualified 10/2007) II . (ii) Application for change to OTI license or license transfer as required by 515.20(a) and (b): Filing $125. If you are changing your existing corporations business structure do not 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. (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. U.S. Department of Transportation Federal Aviation Administration 800 Independence Avenue, SW Washington, DC 20591 1-866-TELL-FAA (1-866-835-5322) eCFR :: 46 CFR Part 515 -- Licensing, Registration, Financial (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). Thereafter, registrations will be renewed for sequential three year periods upon submission of an updated registration form. appropriate box that applies to the applicant. (1) Any person in the United States advertising, holding oneself out, or acting as an ocean freight forwarder as defined in 515.2(m)(1) shall furnish evidence of financial responsibility in the amount of $50,000. The terms used in this part are defined as follows: (a) Act or Shipping Act means the Shipping Act of 1984, as amended. The Bureau of Enforcement, Investigation, and Compliance (BEIC) actively fosters industry compliance with theShipping Act and other statutes and regulations within the Commissions authority. % Sole proprietors should also complete the Certification at the top 15. 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 liability of the Surety shall not be discharged by any payment or succession of payments pursuant to section 1 of this Rider, unless and until the payment or payments shall aggregate the amount set forth in section 1a of this Rider. (b) A common carrier can obtain proof of an NVOCC or OFF's compliance with the OTI licensing, registration, tariff and financial responsibility requirements by: (1) Consulting the Commission's website www.fmc.gov as provided in paragraph (d) of this section, to verify that the NVOCC or OFF has complied with the applicable licensing, registration, tariff, and financial responsibility requirements; or. 515.22 Proof of financial responsibility. current business activities, e.g. 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. Track record and fund management expertise of the applicant and its parent company or major shareholders. Prior to the date it commences furnishing ocean transportation intermediary services, every ocean transportation intermediary shall establish its financial responsibility for the purpose of this part by one of the following methods: (a) Surety bond, by filing with the Commission a valid bond on Form FMC-48. If you have any questions regarding the OTI list, please contact Commission staff at (202) 523-5787 The Commission has received OMB approval for this collection of information pursuant to the Paperwork Reduction Act of 1995, as amended. Check all the boxes that 41107-41109). The acceptance or solicitation of any other shipments is expressly prohibited until a new license has been issued. Last Updated 6/24/2013 Page 3 Note: After edits are made to Qualifying Individuals use the Undo ( ) icon to undo changes made. The official, published CFR, is updated annually and available below under (a) This part sets forth regulations providing for the licensing and registration as ocean transportation intermediaries of persons who wish to carry on the business of providing intermediary services, including the grounds and procedures for revocation and suspension of licenses and registrations. Commission's rules. 9th Floor. If you have questions or are unsure, please give us a call at 630-537-1188. 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. NVOCC OTIs that do not have an active Form FMC-1 on file with the Commission are not considered to be in compliance with regulatory requirements, and therefore, are not included on this list. electing the qualifying individual or the partnership agreement. the partners or members. Identify all US branch offices Part 515 of 14. Within 30 days of the change, Licensed or Registered NVOCCs and ocean freight forwarders must report changes to any information that was provided on their most recent application. 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. 41301-41302, 41305-41307(a)), or any penalty assessed against the Applicant pursuant to section 13 of the Shipping Act (46 U.S.C. (2) An OFF that does not have a bond, insurance, or other surety as required by 46 U.S.C. ; (2) Each group or association of ocean transportation intermediaries shall provide the Commission with a list certified by its Chief Executive Officer containing the names of those ocean transportation intermediaries to which it will provide coverage; the manner and amount of existing coverage each covered ocean transportation intermediary has; an indication that the existing coverage provided each ocean transportation intermediary is provided by a surety bond issued by a surety company found acceptable to the Secretary of the Treasury, or by insurance or guaranty issued by a firm meeting the requirements of paragraphs (b) or (c) of this section with coverage limits specified above in 515.21; and the name, address and facsimile number of each surety, insurer or guarantor providing coverage pursuant to this section. If the applicant 401 (k) vs. HSA. A common carrier may pay compensation to a licensed freight forwarder only pursuant to such common carrier's tariff provisions. Completed application Form FMC-18 and $250.00 fee. FAA: Home - Federal Aviation Administration - Regulations Affecting Ocean Shipping in Foreign Commerce, https://www.ecfr.gov/current/title-46/chapter-IV/subchapter-B/part-515, Licensing, Registration, Financial Responsibility Requirements and General Duties for Ocean Transportation Intermediaries, Eligibility and Procedure for Licensing and Registration. PDF Configure ISE 2.4 and FMC 6.2.3 pxGrid Integration proof of financial responsibility in the form and amount prescribed in 46 Jun. A registration shall become automatically ineffective for a failure of a registered NVOCC to maintain proof of financial responsibility on file with the Commission. (Please type name of signer under each signature. Submit electronically or print out and complete Form FMC-18: Application for a License as an Ocean Transportation Intermediary. If you are changing your may occur due to the change. (e) False or fraudulent claims, false information. must be attached to the Form FMC-18 with the initial application. 46 CFR Part 515 - LII / Legal Information Institute B. Registrants may request a hearing for terminations or suspensions of the effectiveness of their registrations following the same procedures set forth in 515.17 (governing hearing requests for denials, revocations and suspensions of licenses). (See 46 C.F.R. telephone at(202) 523-5843 (Office of Transportation Intermediaries) or by fax 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. The notice of revocation or suspension will provide, in detail, a statement of the facts supporting the action. ____ [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. (d) Special contracts. If more than one insurer joins in executing this document, that action constitutes joint and several liability on the part of the insurers. punctuation. of Incorporation and minutes of a meeting appointing officers (or other substance. FAR). The insurance must provide coverage for damages, reparations or penalties arising from any transportation-related activities under the Act of the insured ocean transportation intermediary. How to Amend the Title/Business Address for an Existing Qualifying Individual 1. C.F.R. (d) Federal military and civilian household goods. 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. and the number of branch offices indicated. The Guarantor's liability under this Guaranty shall attach only in respect of such activities giving rise to a cause of action against the Applicant, in respect of any of its transportation-related activities under the Shipping Act, occurring after the Guaranty has become effective, and before the expiration date of this Guaranty, which shall be the date thirty (30) days after the date of receipt of mail or email (bcl@fmc.gov) written notice to the Director, Bureau of Certification and Licensing, Federal Maritime Commission, Washington, DC 20573, that either Applicant or the Guarantor has elected to terminate this Guaranty. The Federal Maritime Commission FMC-18 (3) Any registered NVOCC, as defined in 515.2(r), shall furnish evidence of financial responsibility in the amount of $150,000. One of the members or managers, or an individual in an equivalent position in the LLC as expressly set forth in the LLC operating agreement. 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]. are deleting a trade name, clearly specify the name being deleted. If this is an initial application for a license, the change FMC license | U.S.A. IMPORT & EXPORT LAWS 40904(d)) and 46 CFR part 535. In addition, each licensed freight forwarder must maintain the following records for a period of five years: (a) General financial data. 41107-41109). (a) Form and amount. user convenience only and is not intended to alter agency intent (a) The response plan must identify a qualified individual and at least one alternate who meet the requirements of this section. Qualified positions include: Staff RN Medical Technologist Medical Lab Technician Surgical First Assist Paramedic If you or someone you know wants to make a difference every day, complete an application or contact our Human Resources team at 740-687-8017. Sub-Organizations - Assistant Secretary Of The Air Force (b) The qualified individual and alternate must - license, state the name of the existing company whose license is being Figure 5: Modify Qualifying Individual How to Remove a Qualifying Individual 1. Please complete the appropriate section below (8A or 8B). If the response to any question is yes, please attach an 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. 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). Corporation), [80 FR 68738, Nov. 5, 2015; 81 FR 4593, Jan. 27, 2016], Optional Rider for Additional NVOCC Financial Responsibility [Optional Rider to Form FMC-48]. Such hearing shall be provided pursuant to the procedures contained in 515.17. (b) Arrangements with unauthorized persons. 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. b`Y0}/yfD55J{\M:yCLl`(gY<3! G3r8y4(# yKoKjQ8q)J`i[r#@ State if all or part of the company is being commerce. to share office space or is currently sharing space with another person or PDF Help Document Template A separate file shall be maintained for each shipment. Such notices may include or attach other information relevant to the claim. 41107-41109). Clarification on eligibility to be a Qualified Individual when partnerships are involved. Comments or questions about document content can not be answered by OFR staff. the amount of the civil penalty may increase to $30,000 for each violation. (b) Information obtained under this part is used to determine the qualifications of ocean transportation intermediaries and their compliance with shipping statutes and regulations. Subpart C - Financial Responsibility Requirements; Claims Against Ocean Transportation Intermediaries. In this case, BEIC will follow-up with the OTI in an attempt to resolve any non-compliant aspects of the OTIs operations. Guarantor agrees to appoint an agent for service of process in the United States. *Persons failing to indicate accurate residency status will be automatically charged the non-resident rate. Each group or association of ocean transportation intermediaries shall be responsible for requiring each member ocean transportation intermediary to provide it with valid proof of financial responsibility annually; (5) Where the group or association of ocean transportation intermediaries determines to secure on behalf of its members other forms of financial responsibility, as specified by this section, for damages, reparations or penalties not covered by a member's individual financial responsibility coverage, such additional coverage must: (i) Allow claims to be made in the United States directly against the group or association's Surety, Insurer or Guarantor for damages against each covered member ocean transportation intermediary arising from each covered member ocean transportation intermediary's transportation-related activities under the Act, or order for reparations issued pursuant to section 11 of the Act (46 U.S.C.

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