Requirements and recommended procedures and practices concerning the issuance of seafarers' identity documents
ANNEX IIISupplementary provisions
ANNEX III Requirements and recommended procedures and practices concerning the issuance of seafarers' identity documents This Annex sets out minimum requirements relating to procedures to be adopted by each Member in accordance with Article 5 of this Convention, with respect to the issuance of seafarers' identity documents (referred to below as SIDs), including quality-control procedures. Part A lists the mandatory results that must be achieved, as a minimum, by each Member, in implementing a system of issuance of SIDs. Part B recommends procedures and practices for achieving those results. Part B is to be given full consideration by Members, but is not mandatory. Part A — Mandatory results 1. Production and delivery of blank SIDs Processes and procedures are in place to ensure the necessary security for the production and delivery of blank SIDs, including the following: (a) all blank SIDs are of uniform quality and meet the specifications in content and form as contained in Annex I; (b) the materials used for production are protected and controlled; (c) blank SIDs are protected, controlled, identified and tracked during the production and delivery processes; (d) producers have the means of properly meeting their obligations in relation to the production and delivery of blank SIDs; (e) the transport of the blank SIDs from the producer to the issuing authority is secure. 2. Custody, handling and accountability for blank and completed SIDs Processes and procedures are in place to ensure the necessary security for the custody, handling and accountability for blank and completed SIDs, including the following: (a) the custody and handling of blank and completed SIDs is controlled by the issuing authority; (b) blank, completed and voided SIDs, including those used as specimens, are protected, controlled, identified and tracked; (c) personnel involved with the process meet standards of reliability, trustworthiness and loyalty required by their positions and have appropriate training; (d) the division of responsibilities among authorised officials is designed to prevent the issuance of unauthorised SIDs. 3. Processing of applications; suspension or withdrawal of SIDs; appeal procedures Processes and procedures are in place to ensure the necessary security for the processing of applications, the completion of the blank SIDs into personalised SIDs by the authority and unit responsible for issuing them, and the delivery of the SIDs, including: (a) processes for verification and approval ensuring that SIDs, when first applied for and when renewed, are issued only on the basis of: (i) applications completed with all information required by Annex I; (ii) proof of identity of the applicant in accordance with the law and practice of the issuing State; (iii) proof of nationality or permanent residence; (iv) proof that the applicant is a seafarer within the meaning of Article 1; (v) assurance that applicants, especially those with more than one nationality or having the status of permanent residents, are not issued with more than one SID; (vi) verification that the applicant does not constitute a risk to security, with proper respect for the fundamental rights and freedoms set out in international instruments; (b) the processes ensure that: (i) the particulars of each item contained in Annex II are entered in the database simultaneously with issuance of the SID; (ii) the data, photograph, signature and biometric gathered from the applicant correspond to the applicant; and (iii) the data, photograph, signature and biometric gathered from the applicant are linked to the application throughout the processing, issuance and delivery of the SID; (c) prompt action is taken to update the database when an issued SID is suspended or withdrawn; (d) an extension and/or renewal system has been established to provide for circumstances where a seafarer is in need of extension or renewal of his or her SID and in circumstances where the SID is lost; (e) the circumstances in which SIDs may be suspended or withdrawn are established in consultation with shipowners' and seafarers' organisations; (f) effective and transparent appeal procedures are in place. 4. Operation, security and maintenance of the database Processes and procedures are in place to ensure the necessary security for the operation and maintenance of the database, including the following: (a) the database is secure from tampering and from unauthorised access; (b) data are current, protected against loss of information and available for query at all times through the focal point; (c) databases are not appended, copied, linked or written to other databases; information from the database is not used for purposes other than authenticating the seafarers' identity; (d) the individual’s rights are respected, including: (i) the right to privacy in the collection, storage, handling and communication of personal data; and (ii) the right of access to data concerning him or her and to have any inaccuracies corrected in a timely manner. 5. Quality control of procedures and periodic evaluations (a) Processes and procedures are in place to ensure the necessary security through the quality control of procedures and periodic evaluations, including the monitoring of processes, to ensure that required performance standards are met, for: (i) production and delivery of blank SIDs; (ii) custody, handling and accountability for blank, voided and personalised SIDs; (iii) processing of applications, completion of blank SIDs into personalised SIDs by the authority and unit responsible for issuance and delivery; (iv) operation, security and maintenance of the database. (b) Periodic reviews are carried out to ensure the reliability of the issuance system and of the procedures and their conformity with the requirements of this Convention. (c) Procedures are in place to protect the confidentiality of information contained in reports on periodic evaluations provided by other ratifying Members. Part B — Recommended procedures and practices 1. Production and delivery of blank SIDs 1.1. In the interest of security and uniformity of SIDs, the competent authority should select an effective source for the production of blank SIDs to be issued by the Member. 1.2. If the blanks are to be produced on the premises of the authority responsible for the issuance of SIDs (the issuing authority), section 2.2 below applies. 1.3. If an outside enterprise is selected, the competent authority should: 1.3.1. check that the enterprise is of undisputed integrity, financial stability and reliability; 1.3.2. require the enterprise to designate all the employees who will be engaged in the production of blank SIDs; 1.3.3. require the enterprise to furnish the authority with proof that demonstrates that there are adequate systems in place to ensure the reliability, trustworthiness and loyalty of designated employees and to satisfy the authority that it provides each such employee with adequate means of subsistence and adequate job security; 1.3.4. conclude a written agreement with the enterprise which, without prejudice to the authority’s own responsibility for SIDs, should, in particular, establish the specifications and directions referred to under section 1.5 below and require the enterprise: 1.3.4.1. to ensure that only the designated employees, who must have assumed strict obligations of confidentiality, are engaged in the production of the blank SIDs; 1.3.4.2. to take all necessary security measures for the transport of the blank SIDs from its premises to the premises of the issuing authority. Issuing agents cannot be absolved from the liability on the grounds that they are not negligent in this regard; 1.3.4.3. to accompany each consignment with a precise statement of its contents; this statement should, in particular, specify the reference numbers of the SIDs in each package; 1.3.5. ensure that the agreement includes a provision to allow for completion if the original contractor is unable to continue; 1.3.6. satisfy itself, before signing the agreement, that the enterprise has the means of properly performing all the above obligations. 1.4. If the blank SIDs are to be supplied by an authority or enterprise outside the Member’s territory, the competent authority of the Member may mandate an appropriate authority in the foreign country to ensure that the requirements recommended in this section are met. 1.5. The competent authority should, inter alia : 1.5.1. establish detailed specifications for all materials to be used in the production of the blank SIDs; these materials should conform to the general specifications set out in Annex I to this Convention; 1.5.2. establish precise specifications relating to the form and content of the blank SIDs as set out in Annex I; 1.5.3. ensure that the specifications enable uniformity in the printing of blank SIDs if different printers are subsequently used; 1.5.4. provide clear directions for the generation of a unique document number to be printed on each blank SID in a sequential manner in accordance with Annex I; and 1.5.5. establish precise specifications governing the custody of all materials during the production process. 2. Custody, handling and accountability for blank and completed SIDs 2.1. All operations relating to the issuance process (including the custody of blank, voided and completed SIDs, the implements and materials for completing them, the processing of applications, the issuance of SIDs, the maintenance and the security of databases) should be carried out under the direct control of the issuing authority. 2.2. The issuing authority should prepare an appraisal of all officials involved in the issuance process establishing, in the case of each of them, a record of reliability, trustworthiness and loyalty. 2.3. The issuing authority should ensure that no officials involved in the issuance process are members of the same immediate family. 2.4. The individual responsibilities of the officials involved in the issuance process should be adequately defined by the issuing authority. 2.5. No single official should be responsible for carrying out all the operations required in the processing of an application for a SID and the preparation of the corresponding SID. The official who assigns applications to an official responsible for issuing SIDs should not be involved in the issuance process. There should be a rotation in the officials assigned to the different duties related to the processing of applications and the issuance of SIDs. 2.6. The issuing authority should draw up internal rules ensuring: 2.6.1. that the blank SIDs are kept secured and released only to the extent necessary to meet expected day-to-day operations and only to the officials responsible for completing them into personalised SIDs or to any specially authorised official, and that surplus blank SIDs are returned at the end of each day; measures to secure SIDs should be understood as including the use of devices for the prevention of unauthorised access and detection of intruders; 2.6.2. that any blank SIDs used as specimens are defaced and marked as such; 2.6.3. that each day a record, to be stored in a safe place, is maintained of the whereabouts of each blank SID and of each personalised SID that has not yet been issued, also identifying those that are secured and those that are in the possession of a specified official or officials; the record should be maintained by an official who is not involved in the handling of the blank SIDs or SIDs that have not yet been issued; 2.6.4. that no person should have access to the blank SIDs and to the implements and materials for completing them other than the officials responsible for completing the blank SIDs or any specially authorised official; 2.6.5. that each personalised SID is kept secured and released only to the official responsible for issuing the SID or to any specially authorised official; 2.6.5.1. the specially authorised officials should be limited to: (a) persons acting under the written authorisation of the executive head of the authority or of any person officially representing the executive head, and (b) the controller referred to in section 5 below and persons appointed to carry out an audit or other control; 2.6.6. that officials are strictly prohibited from any involvement in the issuance process for a SID applied for by a member of their family or a close friend; 2.6.7. that any theft or attempted theft of SIDs or of implements or materials for personalising them should be promptly reported to the police authorities for investigation. 2.7. Errors in the issuance process should invalidate the SID concerned, which may not be corrected and issued. 3. Processing of applications; suspension or withdrawal of SIDs; appeal procedures 3.1. The issuing authority should ensure that all officials with responsibility concerning the review of applications for SIDs have received relevant training in fraud detection and in the use of computer technology. 3.2. The issuing authority should draw up rules ensuring that SIDs are issued only on the basis of: an application completed and signed by the seafarer concerned; proof of identity; proof of nationality or permanent residence; and proof that the applicant is a seafarer. 3.3. The application should contain all the information specified as mandatory in Annex I to this Convention. The application form should require applicants to note that they will be liable to prosecution and penal sanctions if they make any statement that they know to be false. 3.4. When a SID is first applied for, and whenever subsequently considered necessary on the occasion of a renewal: 3.4.1. the application, completed except for the signature, should be presented by the applicant in person, to an official designated by the issuing authority; 3.4.2. a digital or original photograph and the biometric of the applicant should be taken under the control of the designated official; 3.4.3. the application should be signed in the presence of the designated official; 3.4.4. the application should then be transmitted by the designated official directly to the issuing authority for processing. 3.5. Adequate measures should be adopted by the issuing authority to ensure the security and the confidentiality of the digital or original photograph and the biometric. 3.6. The proof of identity provided by the applicant should be in accordance with the laws and practice of the issuing State. It may consist of a recent photograph of the applicant, certified as being a true likeness of him or her by the shipowner or shipmaster or other employer of the applicant or the director of the applicant’s training establishment. 3.7. The proof of nationality or permanent residence will normally consist of the applicant’s passport or certificate of admission as a permanent resident. 3.8. Applicants should be asked to declare all other nationalities that they may possess and affirm that they have not been issued with and have not applied for a SID from any other Member. 3.9. The applicant should not be issued with a SID for so long as he or she possesses another SID. 3.9.1. An early renewal system should apply in circumstances where a seafarer is aware in advance that the period of service is such that he or she will be unable to make his or her application at the date of expiry or renewal. 3.9.2. An extension system should apply in circumstances where an extension of a SID is required due to an unforeseen extension of the period of service. 3.9.3. A replacement system should apply in circumstances where a SID is lost. A suitable temporary document can be issued. 3.10. The proof that the applicant is a seafarer, within the meaning of Article 1 of this Convention should at least consist of: 3.10.1. a previous SID, or a seafarers' discharge book; or 3.10.2. a certificate of competency, qualification or other relevant training; or 3.10.3. equally cogent evidence. 3.11. Supplementary proof should be sought where deemed appropriate. 3.12. All applications should be subject to at least the following verifications by a competent official of the issuing authority of SIDs: 3.12.1. verification that the application is complete and shows no inconsistency raising doubts as to the truth of the statements made; 3.12.2. verification that the details given and the signature correspond to those on the applicant’s passport or other reliable document; 3.12.3. verification, with the passport authority or other competent authority, of the genuineness of the passport or other document produced; where there is reason to doubt the genuineness of the passport, the original should be sent to the authority concerned; otherwise, a copy of the relevant pages may be sent; 3.12.4. comparison of the photograph provided, where appropriate, with the digital photograph referred to in section 3.4.2 above; 3.12.5. verification of the apparent genuineness of the certification referred to in section 3.6 above; 3.12.6. verification that the proof referred to in section 3.10 substantiates that the applicant is indeed a seafarer; 3.12.7. verification, in the database referred to in Article 4 of the Convention, to ensure that a person corresponding to the applicant has not already been issued with a SID; if the applicant has or may have more than one nationality or any permanent residence outside the country of nationality, the necessary inquiries should also be made with the competent authorities of the other country or countries concerned; 3.12.8. verification, in any relevant national or international database that may be accessible to the issuing authority, to ensure that a person corresponding to the applicant does not constitute a possible security risk. 3.13. The official referred to in section 3.12 above should prepare brief notes for the record indicating the results of each of the above verifications, and drawing attention to the facts that justify the conclusion that the applicant is a seafarer. 3.14. Once fully checked, the application, accompanied by the supporting documents and the notes for the record, should be forwarded to the official responsible for completion of the SID to be issued to the applicant. 3.15. The completed SID, accompanied by the related file in the issuing authority, should then be forwarded to a senior official of that authority for approval. 3.16. The senior official should give such approval only if satisfied, after review of at least the notes for the record, that the procedures have been properly followed and that the issuance of the SID to the applicant is justified. 3.17. This approval should be given in writing and be accompanied by explanations concerning any features of the application that need special consideration. 3.18. The SID (together with the passport or similar document provided) should be handed to the applicant directly against receipt, or sent to the applicant or, if the latter has so requested, to his or her shipmaster or employer in both cases by reliable postal communication requiring advice of receipt. 3.19. When the SID is issued to the applicant, the particulars specified in Annex II to the Convention should be entered in the database referred to in Article 4 of the Convention. 3.20. The rules of the issuing authority should specify a maximum period for receipt after dispatch. If advice of receipt is not received within that period and after due notification of the seafarer, an appropriate annotation should be made in the database and the SID should be officially reported as lost and the seafarer informed. 3.21. All annotations to be made, such as, in particular, the brief notes for the record (see section 3.13 above) and the explanations referred to in section 3.17, should be kept in a safe place during the period of validity of the SID and for three years afterwards. Those annotations and explanations required by section 3.17 should be recorded in a separate internal database, and rendered accessible: (a) to persons responsible for monitoring operations; (b) to officials involved in the review of applications for SIDs; and (c) for training purposes. 3.22. When information is received suggesting that a SID was wrongly issued or that the conditions for its issue are no longer applicable, the matter should be promptly notified to the issuing authority with a view to its rapid withdrawal. 3.23. When a SID is suspended or withdrawn the issuing authority should immediately update its database to indicate that this SID is not currently recognised. 3.24. If an application for a SID is refused or a decision is taken to suspend or withdraw a SID, the applicant should be officially informed of his or her right of appeal and fully informed of the reasons for the decision. 3.25. The procedures for appeal should be as rapid as possible and consistent with the need for fair and complete consideration. 4. Operation, security and maintenance of the database 4.1. The issuing authority should make the necessary arrangements and rules to implement Article 4 of this Convention, ensuring in particular: 4.1.1. the availability of a focal point or electronic access over 24 hours a day, seven days a week, as required according to Article 4(4), (5) and (6) of the Convention; 4.1.2. the security of the database; 4.1.3. the respect for individual rights in the storage, handling and communication of data; 4.1.4. the respect for the seafarer’s right to verify the accuracy of data relating to him or her and to have corrected, in a timely manner, any inaccuracies found. 4.2. The issuing authority should draw up adequate procedures for protecting the database, including: 4.2.1. a requirement for the regular creation of back-up copies of the database, to be stored on media held in a safe location away from the premises of the issuing authority; 4.2.2. the restriction to specially authorised officials of permission to access or make changes to an entry in the database once the entry has been confirmed by the official making it. 5. Quality control of procedures and periodic evaluations 5.1. The issuing authority should appoint a senior official of recognised integrity, loyalty and reliability, who is not involved in the custody or handling of SIDs, to act as controller: 5.1.1. to monitor on a continuous basis the implementation of these minimum requirements; 5.1.2. to draw immediate attention to any shortcomings in the implementation; 5.1.3. to provide the executive head and the concerned officials with advice on improvements to the procedures for the issuance of SIDs; and 5.1.4. to submit a quality-control report to management on the above. The controller should, if possible, be familiar with all the operations to be monitored. 5.2. The controller should report directly to the executive head of the issuing authority. 5.3. All officials of the issuing authority, including the executive head, should be placed under a duty to provide the controller with all documentation or information that the controller considers relevant to the performance of his or her tasks. 5.4. The issuing authority should make appropriate arrangements to ensure that officials can speak freely to the controller without fear of victimisation. 5.5. The terms of reference of the controller should require that particular attention be given to the following tasks: 5.5.1. verifying that the resources, premises, equipment and staff are sufficient for the efficient performance of the functions of the issuing authority; 5.5.2. ensuring that the arrangements for the safe custody of the blank and completed SIDs are adequate; 5.5.3. ensuring that adequate rules, arrangements or procedures are in place in accordance with sections 2.6, 3.2, 4 and 5.4 above. 5.5.4. ensuring that those rules and procedures, as well as arrangements, are well known and understood by the officials concerned; 5.5.5. detailed monitoring on a random basis of each action carried out, including the related annotations and other records, in processing particular cases, from the receipt of the application for a SID to the end of the procedure for its issuance; 5.5.6. verification of the efficacy of the security measures used for the custody of blank SIDs, implements and materials; 5.5.7. verification, if necessary with the aid of a trusted expert, of the security and veracity of the information stored electronically and that the requirement for 24 hours a day, seven days a week access is maintained; 5.5.8. investigating any reliable report of a possible wrongful issuance of a SID or of a possible falsification or fraudulent obtention of a SID, in order to identify any internal malpractice or weakness in systems that could have resulted in or assisted the wrongful issuance or falsification or fraud; 5.5.9. investigating complaints alleging inadequate access to the details in the database given the requirements of Article 4(2), (3) and (5) of the Convention, or inaccuracies in those details; 5.5.10. ensuring that reports identifying improvements to the issuance procedures and areas of weakness have been acted upon in a timely and effective manner by the executive head of the issuing authority; 5.5.11. maintaining records of quality-control checks that have been carried out; 5.5.12. ensuring that management reviews of quality-control checks have been performed and that records of such reviews are maintained. 5.6. The executive head of the issuing authority should ensure a periodic evaluation of the reliability of the issuance system and procedures, and of their conformity with the requirements of this Convention. Such evaluation should take into account the following: 5.6.1. findings of any audits of the issuance system and procedures; 5.6.2. reports and findings of investigations and of other indications relevant to the effectiveness of corrective action taken as a result of reported weaknesses or breaches of security; 5.6.3. records of SIDs issued, lost, voided or spoiled; 5.6.4. records relating to the functioning of quality control; 5.6.5. records of problems with respect to the reliability or security of the electronic database, including inquiries made to the database; 5.6.6. effects of changes to the issuance system and procedures resulting from technological improvements or innovations in the SID issuance procedures; 5.6.7. conclusions of management reviews; 5.6.8. audit of procedures to ensure that they are applied in a manner consistent with respect for fundamental principles and rights at work embodied in relevant ILO instruments. 5.7. Procedures and processes should be put in place to prevent unauthorised disclosure of reports provided by other Members. 5.8. All audit procedures and processes should ensure that the production techniques and security practices, including the stock control procedures, are sufficient to meet the requirements of this Annex.