fmc qualifying individual

No licensed freight forwarder shall render, or offer to render, any freight forwarding service free of charge or at a reduced fee in consideration of receiving compensation from a common carrier or for any other reason. 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. 40901-40904), and the rules and regulations of the Federal Maritime Commission relating to evidence of financial responsibility for OTIs, this Insurance 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 Insured arising from the Insured'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. 16. Such forms and documents must clearly identify the principal's name; trade name, if any; address; the state of incorporation/formation; and the printed name and title of the signatory. Click the Save button (see Figure 5). (e) Other changes. the qualifying individual only as it relates to those jobs where experience was 40901-40904) and this part. 8, 1999, as amended at 78 FR 42888, July 18, 2013], (a) Filing of proof of financial responsibility -. forwarder or an NVOCC, please include your license and bond numbers. The Commission has received OMB approval for this collection of information pursuant to the Paperwork Reduction Act of 1995, as amended. If additional space is 6. and continue entering the information. Under FRP, what is the definition of a qualified individual? Such hearing shall be provided pursuant to the procedures contained in 515.17. The following condition is added to this Bond: a. going to conduct OTI business through branch offices in the Each receipt for cargo issued by a licensed freight forwarder shall be clearly identified as Receipt for Cargo and be readily distinguishable from a bill of lading. <>>> This bond shall inure to the benefit of any and all persons who have obtained a judgment or a settlement made pursuant to a claim under 46 CFR 515.23 for damages against the Principal arising from its transportation-related activities or order of reparation issued pursuant to section 11 of the Shipping Act (46 U.S.C. A separate file shall be maintained for each shipment. A separate drafting site No license or registration shall remain in effect unless valid proof of a financial responsibility instrument is maintained on file with the Commission. (c) Form of certification. FMC Aquatic Senior Qualifying Meet. ZI])(. 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. The qualifying individual's experience must have been gained in the United States. Whereas ____ (Name of Applicant [indicate whether NVOCC or Freight Forwarder]) (hereinafter Applicant) is or may become an Ocean Transportation Intermediary (OTI) subject to the Shipping Act of 1984 (46 U.S.C. 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. Charges for such forwarding services shall be assessed in conformance with the carrier's published tariffs. 515.25 Filing of proof of financial responsibility. 13. (j) Prohibition. The Register can be searched here. [64 FR 11171, Mar. (2) In addition to information provided by the applicant and its references, the Commission may consider all information relevant to determining whether an applicant has the necessary character to render ocean transportation intermediary services, including but not limited to, information regarding: Violations of any shipping laws, or statutes relating to the import, export, or transport of merchandise in international trade; operating as an OTI without a license or registration; state and federal felonies and misdemeanors; voluntary and non-voluntary bankruptcies not discharged; outstanding tax liens and other court and administrative judgments and proceedings; compliance with immigration status requirements described in 49 CFR 1572.105; denial, revocation, or suspension of a Transportation Worker Identification Credential under 49 CFR 1572; and the denial, revocation, or suspension of a customs broker's license under 19 CFR subpart B, section 111. place of business (must be the physical address of applicant). learn more about the process here. If the violation is willfully and knowingly committed, in which case Corporations must list the name and title of each 9. 17. transferred from (transferor) and identify the company which will receive the Amend Title and/or Business Address. Upon notification by the Commission that an applicant has been conditionally approved for licensing, the applicant shall file with the Director of the Commission's Bureau of Certification and Licensing, proof of financial responsibility in the form and amount prescribed in 515.21. The initial renewal of an OTI license can take place no sooner than one-year and no later than four-years from issuance. 515.16 Revocation or suspension of license. 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. 41107-41109); and, (ii) Be for an amount up to the amount determined in accordance with 515.21(b), taking into account a member's individual financial responsibility coverage already in place. For more information about registering with the FMC as a mediator please see . However, the bond shall not apply to shipments of used household goods and personal effects for the account of the Department of Defense or the account of federal civilian executive agencies shipping under the International Household Goods Program administered by the General Services Administration. 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. The complete (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. full text search results being replaced. A notice of each registration shall be published on the Commission's Web site www.fmc.gov. 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]. (c) Affiliates of intermediaries. If this is an initial application for a license, the change The Office of the Federal Register publishes documents on behalf of Federal agencies but does not have any authority over their programs. 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. (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. (See 46 C.F.R. [80 FR 68732, Nov. 5, 2015, as amended at 84 FR 62467, Nov. 15, 2019]. (b) Notice. 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]. If replacing a qualifying individual, list the name of the individual PRIVACY ACT AND PAPERWORK REDUCTION ACT NOTICE . 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. US Any person serving the Secretary must also send to the ocean transportation intermediary, or group or association of ocean transportation intermediaries which provide financial coverage for the financial responsibilities of a member ocean transportation intermediary, by mail or courier service at the ocean transportation intermediary's, or group's, address published in its tariff, a copy of each document served upon the Secretary, and shall attest to that service at the time service is made upon the Secretary. Incomplete applications will be returned without processing. Follow the step-by-step instructions below to design your 13a cslb form: Select the document you want to sign and click Upload. (a) Notice of shipper affiliation. Helpful Hints 1. (b) Agents, employees, or branch offices of an ocean transportation intermediary. The common carrier shall be entitled to rely on such certification unless it knows that the certification is incorrect. [80 FR 68734, Nov. 5, 2015, as amended at 84 FR 62468, Nov. 15, 2019]. here. (m) Ocean transportation intermediary (OTI) means an ocean freight forwarder or a non-vessel-operating common carrier. The terms used in this part are defined as follows: (a) Act or Shipping Act means the Shipping Act of 1984, as amended. Identify the name Figure 5: Modify Qualifying Individual How to Remove a Qualifying Individual 1. 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. Just click inside the text box that you want to fill in and enter the information. OTI experience obtained outside the US .) switch to drafting.ecfr.gov. The completed questionnaire and any supporting documents must be returned within 30 days. This evidence of financial responsibility shall be accompanied by: in the case of a financial rating, the Guarantor's financial rating on the rating organization's letterhead or designated form; in the case of a guaranty provided by Underwriters at Lloyd's, documentation verifying membership in Lloyd's; and in the case of a guaranty 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. 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. A licensed freight forwarder may own, operate, or otherwise maintain or supervise an electronic data interchange-based computer system in its forwarding business; however, the forwarder must directly perform value-added services as described in paragraph (c) of this section in order to be entitled to carrier compensation. Many of our PDF forms and applications can be completed online. The licensee may continue to operate as an ocean transportation intermediary during the pendency of the Commission's approval process. Each day of a continuing violation shall constitute a separate violation. Learn about the role of the QI in FMC licensing applications. - Upload the signed certificate. However, the bond shall not apply to shipments of used household goods and personal effects for the account of the Department of Defense or the account of federal civilian executive agencies shipping under the International Household Goods Program administered by the General Services Administration. and months of ocean transportation intermediary experience that the qualifying (Please type name of signer under each signature). Such termination shall become effective thirty (30) days after receipt of said notice by the Commission. the name of the owner. In the event that the owner of a licensed sole proprietorship dies, the licensee's executor, administrator, heir(s), or assign(s) may continue operation of such proprietorship solely with respect to shipments for which the deceased sole proprietor had undertaken to act as an ocean transportation intermediary pursuant to the existing license, if the death is reported within 30 days to the Commission and to all principals and shippers for whom services on such shipments are to be rendered. 41107-41109); provided, however, that the Surety's obligation for a group or association of OTIs shall extend only to such damages, reparations or penalties described herein as are not covered by another surety bond, insurance policy or guaranty held by the OTI(s) against which a claim or final judgment has been brought and that Surety's total obligation hereunder shall not exceed the amount per OTI provided for in 46 CFR 515.21 or the amount per group or association of OTIs provided for in 46 CFR 515.21 in aggregate. 41301-41302, 41305-41307(a)), or any penalty assessed against the ocean transportation intermediary pursuant to section 13 of the Act (46 U.S.C. Federal Maritime Commission, Washington, DC 20573, within twenty (20) days of the . Commissions website, www.fmc.gov , or by 5. 13. 3411; 21 U.S.C. Applications for a new license by the executor, administrator, heir(s), or assign(s) shall be made on Form FMC-18, and shall be accompanied by the fee required under 515.5(c). The time needed to complete and file this form will vary depending on individual circumstances. For 2021 the maximum CDCC for a taxpayer with AGI of more than $183,000 is $1,600 for one qualifying individual ($8,000 x 20%) and $3,200 for two or more qualifying individuals ($16,000 x 20%). (2) An individual who is applying for a license as a sole proprietor must complete the following certification: I, ____ (Name)____, certify under penalty of perjury under the laws of the United States, that I have not been convicted, after September 1, 1989, of any Federal or state offense involving the distribution or possession of a controlled substance, or that if I have been so convicted, I am not ineligible to receive Federal benefits, either by court order or operation of law, pursuant to 21 U.S.C. 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. separately licensed. This person is called the FMC Qualifying Individual or "QI". These recordkeeping requirements are independent of the retention requirements of other federal agencies. Within the same 30-day period, the licensee shall furnish to the Commission the name(s) and detailed intermediary experience of any other active partner(s), member(s), manager(s) or officer(s) who may qualify the licensee. Now, Therefore, The condition of this obligation is that the penalty amount of this bond shall be available to pay any judgment 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 or order for reparations issued pursuant to section 11 of the Shipping Act (46 U.S.C. You can learn more about the process 40901-40904)) ____ [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. 40901-40904), files with the Commission this Insurance Form as evidence of its financial responsibility and evidence of a financial rating for the Insurer of Class V or higher under the Financial Size Categories of A.M. Best & Company or equivalent from an acceptable international rating organization on such organization's letterhead or designated form, or, in the case of insurance provided by Underwriters at Lloyd's, documentation verifying membership in Lloyd's, or, in the case of 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. 41301-41302, 41305-41307(a)), or any penalty assessed against the Principal pursuant to section 13 of the Shipping Act (46 U.S.C. If rejected, a notice, together with the reasons therefore, shall be sent to the foreign-based unlicensed NVOCC. 20573-0001. Incorporated branch offices must be A6, A7, B5, B6, B7, etc). is available with paragraph structure matching the official CFR payable to the Federal Maritime Commission. Please do not send cash. with the applicant. The information in this document is based on these software and hardware versions: Standalone ISE 2.4 FMCv 6.2.3 Active Directory 2012R2 Identity Services Engine (ISE)pxGrid version 2.4 Firepower Management Center (FMC) version 6.2.3 The information in this document was created from the devices in a specific lab environment. 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. "Published Edition". 41301-41302, 41305-41307(a)), or any penalty assessed pursuant to section 13 of the Shipping Act (46 U.S.C. proposing more than one qualifying individual complete Part D for each 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. Form FMC-18must be filed for any changes to a licensee: Other changes to information reported on the original Form FMC-18 may be reported by an officer of the company via email to oti@fmc.gov. (3) Publication of Notice. (a) Licenses. 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. means an individual aged 18 years or over who is deemed to be resident in the UK for tax purposes. <>/ExtGState<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 612 792] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> A foreign NVOCC seeking to be licensed under this part must demonstrate that its qualifying individual has a minimum 3 years' experience in ocean transportation intermediary activities, and the necessary character to render ocean transportation intermediary services. You may 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. Persons operating without the He or she need not be a shareholder of the company, but must be an officer and a full-time employee. (l) Ocean common carrier means a common carrier that operates, for all or part of its common carrier service, a vessel on the high seas or the Great Lakes between a port in the United States and a port in a foreign country, except that the term does not include a common carrier engaged in ocean transportation by ferry boat, ocean tramp, or chemical parcel-tanker. This content is from the eCFR and may include recent changes applied to the CFR. (3) Any registered NVOCC, as defined in 515.2(r), shall furnish evidence of financial responsibility in the amount of $150,000. (Please type name of signer under each signature. freight forwarding. (v) Transportation-related activities which are covered by the financial responsibility obtained pursuant to this part include, to the extent involved in the foreign commerce of the United States, any activity performed by an ocean transportation intermediary that is necessary or customary in the provision of transportation services to a customer, but are not limited to the following: (1) For an ocean transportation intermediary operating as an ocean freight forwarder, the freight forwarding services enumerated in paragraph (h) of this section, and. 2021. 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. 40101-41309, and, if necessary, has a valid tariff published pursuant to 46 CFR part 515 and 520, and pursuant to section 19 of the Shipping Act (46 U.S.C. week. (a) Forms. A license issued to a sole proprietor doing business under a trade name shall be in the name of the sole proprietor, indicating the trade name under which the licensee will be conducting business. 515.21 Financial responsibility requirements. HSA vs. 401 (K) Both accounts let you make pre-tax contributions and grow tax-free earnings. You can also expect the Commission to contact the references for the 41301-41302, 41305-41307(a)), or any penalty assessed against each covered member ocean transportation intermediary pursuant to section 13 of the Act (46 U.S.C. If more than one insurer joins in executing this document, that action constitutes joint and several liability on the part of the insurers. 4 0 obj When assessing an application to be an RFMC, LFMC or VCFM, MAS takes into account factors such as: Fitness and propriety of the applicant, its shareholders and directors. 3, Part B. Pressing enter in the search box 12. the applicant holds stock in another entity). 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. Contact your local broker Management Officer or the Broker Management Branch for inquiries on the change of address to: Broker Management Branch. (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. b`Y0}/yfD55J{\M:yCLl`(gY<3! G3r8y4(# yKoKjQ8q)J`i[r#@ If the Commission denies the application, such denial is final and not subject to the hearing procedures described in 515.15 and 515.17. All application forms (FMC-18) are now filed electronically. Step 3: Appoint a qualifying individual (QI) with at least 3 years of verifiable OTI experience. Qualifying Individual (QI) What does it take to be a Qualifying Individual (QI)? (a) Grounds. at (202) 566-0011. 7. (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. qualifying individual, other officer, director, partner, member, stockholder, stream indicate old name or transferor. (2) An ocean transportation intermediary must report branch offices to the Commission in Form FMC-18 or under the procedures in 515.20(e). 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. (c) Information provided to the principal. you can't claim him or her as a dependent not a qualifying person. After age 65 you can use your health savings account for any expense, you'll simply pay ordinary income taxesjust like a 401 (k). Officer: Matthew A. Keces, Sole Proprietor, (Qualifying Individual). The Electronic Code of Federal Regulations (eCFR) is a continuously updated online version of the CFR. ( 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. (d) In-plant arrangements. completed application Form (FMC-18) to the Federal Maritime Commission, Bureau The official, published CFR, is updated annually and available below under The required OTI experience of the QI of a foreign-based NVOCC seeking to become licensed under this part (foreign-based licensed NVOCC) may be acquired in the U.S. or a foreign country with respect to shipments in the United States oceanborne foreign commerce. 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. No application fee is required when reporting this change. When a licensed freight forwarder is employed to perform forwarding services by the agent of the person responsible for paying for such services, the licensed freight forwarder shall also transmit a copy of its invoice for services rendered to the person paying those charges. The qualifying individual must have If you have questions for the Agency that issued the current document please contact the agency directly. Current address Names and information concerning Qualifying Individual (s) Structure of the organization Nature and extent of current operations of the OTI A list of OTI regulatory obligations also is provided at the commencement of each compliance audit. (1) As provided in each financial responsibility instrument between an OTI and its financial responsibility provider(s), the issuing financial responsibility provider shall submit a notice to the Commission of each claim, court action, or court judgment against the financial responsibility and each claim paid (including the amount) by the provider. Such termination shall become effective thirty (30) days after receipt of said notice by the Commission. of more than one trade name, documentation is needed stating which name will be punctuation. The acceptance or solicitation of any other shipments is expressly prohibited until a new license has been issued. apply. of Certification and Licensing, 800 North Capitol Street N.W., Washington, D.C. 515.26 Termination of financial responsibility. openssl req -new -key fmc.key -out fmc.csr. 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. (5) Change in the identity or status of the designated QI, except as described in paragraphs (b) and (c) of this section. 10. (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). execution. 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