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Information System on International Labour StandardsC185 - Seafarers' Identity Documents Convention (Revised), 2003
(No. 185)
Convention revising the Seafarers' Identity Documents Convention, 1958 (Entry into force:
09 Feb 2005)
Adoption: Geneva, 91st ILC session (19 Jun 2003) - Status: Up-to-date instrument (Technical Convention).
Display in: French - Spanish - Arabic - German - Russian - Chinese
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Preamble
The General Conference of the International Labour Organization,
Hav ing been conv ened at Genev a by the Gov erning Body of the International Labour Office, and hav ing m et in its Ninety -first Session on 3 June 2003 , and Mindful of the continuing threat to the security of passengers and crews and the safety of ships, to the national interest of States and to indiv iduals, and
Mindful also of the core m andate of the Organization, which is to prom ote decent conditions of work, and
Considering that, giv en the global nature of the shipping industry , seafarers need special protection, and
Recognizing the principles em bodied in the Seafarers' Identity Docum ents Conv ention, 1 958, concerning the facilitation of entry by seafarers into the territory of Mem bers, for the purposes of shore leav e, transit, transfer or repatriation, and
Noting the Conv ention on the Facilitation of International Maritim e Traffic, 1 965, as am ended, of the International Maritim e Organization, in particular, Standards 3 .44 and 3 .45, and
Noting further that United Nations General Assem bly Resolution A/RES/57 /21 9 (Protection of hum an rights and fundam ental freedom s while countering terrorism ) affirm s that States m ust ensure that any m easure taken to com bat terrorism com plies with their obligations under international law, in particular international hum an rights, refugee and hum anitarian law, and
Being aware that seafarers work and liv e on ships inv olv ed in international trade and that access to shore facilities and shore leav e are v ital elem ents of seafarers' general well-being and, therefore, to the achiev em ent of safer shipping and cleaner oceans, and
Noting the am endm ents to the International Conv ention for the Safety of Life at Sea, 1 97 4, as am ended, concerning special m easures to enhance m aritim e safety and security , that were adopted by the International Maritim e Organization Diplom atic Conference on 1 2 Decem ber 2002, and
Hav ing decided upon the adoption of certain proposals with regard to the im prov ed security of seafarers' identification, which is the sev enth item on the agenda of the session, and
Hav ing decided that these proposals shall take the form of an international Conv ention rev ising the Seafarers' Identity Docum ents Conv ention, 1 958,
adopts this nineteenth day of June of the y ear two thousand and three, the following Conv ention, which m ay be cited as the Seafarers' Identity Docum ents Conv ention (Rev ised), 2003 .
Article 1
SCOPE
1 . For the purposes of this Conv ention, the term seafarer m eans any person who is em ploy ed or is engaged or works in any capacity on board a v essel, other than a ship of war, ordinarily engaged in m aritim e nav igation.
2. In the ev ent of any doubt whether any categories of persons are to be regarded as seafarers for the purpose of this Conv ention, the question shall be determ ined in accordance with the prov isions of this Conv ention by the com petent authority of the State of nationality or perm anent residence of such persons after consulting with the shipowners' and seafarers' organizations concerned.
3 . After consulting the representativ e organizations of fishing-v essel owners and persons working on board fishing v essels, the com petent authority m ay apply the prov isions of this Conv ention to com m ercial m aritim e fishing.
Article 2
ISSUANCE OF SEAFARERS' IDENTITY DOCUMENTS
1 . Each Mem ber for which this Conv ention is in force shall issue to each of its nationals who is a seafarer and m akes an application to that effect a seafarers' identity docum ent conform ing to the prov isions of Article 3 of this
Conv ention.
2. Unless otherwise prov ided for in this Conv ention, the issuance of seafarers' identity docum ents m ay be subject to the sam e conditions as those prescribed by national laws and regulations for the issuance of trav el docum ents.
3 . Each Mem ber m ay also issue seafarers' identity docum ents referred to in paragraph 1 to seafarers who hav e been granted the status of perm anent resident in its territory . Perm anent residents shall in all cases trav el in conform ity with the prov isions of Article 6, paragraph 7 .
4. Each Mem ber shall ensure that seafarers' identity docum ents are issued without undue delay .
5. Seafarers shall hav e the right to an adm inistrativ e appeal in the case of a rejection of their application.
6. This Conv ention shall be without prejudice to the obligations of each Mem ber under international arrangem ents relating to refugees and stateless persons.
Article 3
1 . The seafarers' identity docum ent cov ered by this Conv ention shall conform - in its content - to the m odel set out in Annex I hereto. The form of the docum ent and the m aterials used in it shall be consistent with the general
specifications set out in the m odel, which shall be based on the criteria set out below. Prov ided that any am endm ent is consistent with the following paragraphs, Annex I m ay , where necessary , be am ended in accordance with Article 8 below, in particular to take account of technological dev elopm ents. The decision to adopt the am endm ent shall specify when the am endm ent will enter into effect, taking account of the need to giv e Mem bers sufficient tim e to m ake any necessary rev isions of their national seafarers' identity docum ents and procedures.
2. The seafarers' identity docum ent shall be designed in a sim ple m anner, be m ade of durable m aterial, with special regard to conditions at sea and be m achine-readable. The m aterials used shall:
(a) prev ent tam pering with the docum ent or falsification, as far as possible, and enable easy detection of alterations; and
(b) be generally accessible to gov ernm ents at the lowest cost consistent with reliably achiev ing the purpose set out in (a) abov e.
3 . Mem bers shall take into account any av ailable guidelines dev eloped by the International Labour Organization on standards of the technology to be used which will facilitate the use of a com m on international standard.
4. The seafarers' identity docum ent shall be no larger than a norm al passport.
5. The seafarers' identity docum ent shall contain the nam e of the issuing authority , indications enabling rapid contact with that authority , the date and place of issue of the docum ent, and the following statem ents:
(a) this docum ent is a seafarers' identity docum ent for the purpose of the Seafarers' Identity Docum ents Conv ention (Rev ised), 2003 , of the International Labour Organization; and
(b) this docum ent is a stand-alone docum ent and not a passport.
6. The m axim um v alidity of a seafarers' identity docum ent shall be determ ined in accordance with the laws and regulations of the issuing State and shall in no case exceed ten y ears, subject to renewal after the first fiv e y ears.
7 . Particulars about the holder included in the seafarer's identity docum ent shall be restricted to the following:
(a) full nam e (first and last nam es where applicable);
(b) sex;
(c) date and place of birth;
(d) nationality ;
(e) any special phy sical characteristics that m ay assist identification;
(f) digital or original photograph; and
(g) signature.
8. Notwithstanding paragraph 7 abov e, a tem plate or other representation of a biom etric of the holder which m eets the specification prov ided for in Annex I shall also be required for inclusion in the seafarers' identity docum ent, prov ided that the following preconditions are satisfied:
(a) the biom etric can be captured without any inv asion of priv acy of the persons concerned, discom fort to them , risk to their health or offence against their dignity ;
(c) the equipm ent needed for the prov ision and v erification of the biom etric is user-friendly and is generally accessible to gov ernm ents at low cost;
(d) the equipm ent for the v erification of the biom etric can be conv eniently and reliably operated in ports and in other places, including on board ship, where v erification of identity is norm ally carried out by the com petent authorities; and
(e) the sy stem in which the biom etric is to be used (including the equipm ent, technologies and procedures for use) prov ides results that are uniform and reliable for the authentication of identity .
9. All data concerning the seafarer that are recorded on the docum ent shall be v isible. Seafarers shall hav e conv enient access to m achines enabling them to inspect any data concerning them that is not ey e-readable. Such access shall be prov ided by or on behalf of the issuing authority .
1 0. The content and form of the seafarers' identity docum ent shall take into account the relev ant international standards cited in Annex I.
Article 4
NATIONAL ELECTRONIC DATABASE
1 . Each Mem ber shall ensure that a record of each seafarers' identity docum ent issued, suspended or withdrawn by it is stored in an electronic database. The necessary m easures shall be taken to secure the database from interference or unauthorized access.
2. The inform ation contained in the record shall be restricted to details which are essential for the purposes of v erify ing a seafarers' identity docum ent or the status of a seafarer and which are consistent with the seafarer's right to priv acy and which m eet all applicable data protection requirem ents. The details are set out in Annex II hereto, which m ay be am ended in the m anner prov ided for in Article 8 below, taking account of the need to giv e Mem bers sufficient tim e to m ake any necessary rev isions of their national database sy stem s.
3 . Each Mem ber shall put in place procedures which will enable any seafarer to whom it has issued a seafarers' identity docum ent to exam ine and check the v alidity of all the data held or stored in the electronic database which relate to that indiv idual and to prov ide for correction if necessary , at no cost to the seafarer concerned.
4. Each Mem ber shall designate a perm anent focal point for responding to inquiries, from the im m igration or other com petent authorities of all Mem bers of the Organization, concerning the authenticity and v alidity of the seafarers' identity docum ent issued by its authority . Details of the perm anent focal point shall be com m unicated to the International Labour Office, and the Office shall m aintain a list which shall be com m unicated to all Mem bers of the Organization.
5. The details referred to in paragraph 2 abov e shall at all tim es be im m ediately accessible to the im m igration or other com petent authorities in m em ber States of the Organization, either electronically or through the focal point referred to in paragraph 4 abov e.
6. For the purposes of this Conv ention, appropriate restrictions shall be established to ensure that no data - in particular, photographs - are exchanged, unless a m echanism is in place to ensure that applicable data protection and priv acy standards are adhered to.
7 . Mem bers shall ensure that the personal data on the electronic database shall not be used for any purpose other than v erification of the seafarers' identity docum ent.
QUALITY CONTROL AND EVALUATIONS
1 . Minim um requirem ents concerning processes and procedures for the issue of seafarers' identity docum ents, including quality -control procedures, are set out in Annex III to this Conv ention. These m inim um requirem ents establish m andatory results that m ust be achiev ed by each Mem ber in the adm inistration of its sy stem for issuance of seafarers' identity docum ents.
2. Processes and procedures shall be in place to ensure the necessary security for:
(a) the production and deliv ery of blank seafarers' identity docum ents;
(b) the custody , handling and accountability for blank and com pleted seafarers' identity docum ents;
(c) the processing of applications, the com pletion of the blank seafarers' identity docum ents into personalized seafarers' identity docum ents by the authority and unit responsible for issuing them and the deliv ery of the seafarers' identity docum ents;
(d) the operation and m aintenance of the database; and
(e) the quality control of procedures and periodic ev aluations.
3 . Subject to paragraph 2 abov e, Annex III m ay be am ended in the m anner prov ided for in Article 8, taking account of the need to giv e Mem bers sufficient tim e to m ake any necessary rev isions to their processes and procedures.
4. Each Mem ber shall carry out an independent ev aluation of the adm inistration of its sy stem for issuing seafarers' identity docum ents, including quality -control procedures, at least ev ery fiv e y ears. Reports on such ev aluations, subject to the rem ov al of any confidential m aterial, shall be prov ided to the Director-General of the International Labour Office with a copy to the representativ e organizations of shipowners and seafarers in the Mem ber concerned. This reporting requirem ent shall be without prejudice to the obligations of Mem bers under article 22 of the
Constitution of the International Labour Organisation.
5. The International Labour Office shall m ake these ev aluation reports av ailable to Mem bers. Any disclosure, other than those authorized by this Conv ention, shall require the consent of the reporting Mem ber.
6. The Gov erning Body of the International Labour Office, acting on the basis of all relev ant inform ation in accordance with arrangem ents m ade by it, shall approv e a list of Mem bers which fully m eet the m inim um requirem ents referred to in paragraph 1 abov e.
7 . The list m ust be av ailable to Mem bers of the Organization at all tim es and be updated as appropriate inform ation is receiv ed. In particular, Mem bers shall be prom ptly notified where the inclusion of any Mem ber on the list is contested on solid grounds in the fram ework of the procedures referred to in paragraph 8.
8. In accordance with procedures established by the Gov erning Body , prov ision shall be m ade for Mem bers which hav e been or m ay be excluded from the list, as well as interested gov ernm ents of ratify ing Mem bers and
representativ e shipowners' and seafarers' organizations, to m ake their v iews known to the Gov erning Body , in accordance with the arrangem ents referred to abov e and to hav e any disagreem ents fairly and im partially settled in a tim ely m anner.
9. The recognition of seafarers' identity docum ents issued by a Mem ber is subject to its com pliance with the m inim um requirem ents referred to in paragraph 1 abov e.
Article 6
FACILITATION OF SHORE LEAVE AND TRANSIT AND TRANSFER OF SEAFARERS
Conv ention by a Mem ber for which the Conv ention is in force shall be recognized as a seafarer within the m eaning of the Conv ention unless clear grounds exist for doubting the authenticity of the seafarers' identity docum ent.
2. The v erification and any related inquiries and form alities needed to ensure that the seafarer for whom entry is requested pursuant to paragraphs 3 to 6 or 7 to 9 below is the holder of a seafarers' identity docum ent issued in accordance with the requirem ents of this Conv ention shall be at no cost to the seafarers or shipowners.
Shore leave
3 . Verification and any related inquiries and form alities referred to in paragraph 2 abov e shall be carried out in the shortest possible tim e prov ided that reasonable adv ance notice of the holder's arriv al was receiv ed by the com petent authorities. The notice of the holder's arriv al shall include the details specified in section 1 of Annex II.
4. Each Mem ber for which this Conv ention is in force shall, in the shortest possible tim e, and unless clear grounds exist for doubting the authenticity of the seafarers' identity docum ent, perm it the entry into its territory of a seafarer holding a v alid seafarer's identity docum ent, when entry is requested for tem porary shore leav e while the ship is in port.
5. Such entry shall be allowed prov ided that the form alities on arriv al of the ship hav e been fulfilled and the
com petent authorities hav e no reason to refuse perm ission to com e ashore on grounds of public health, public safety , public order or national security .
6. For the purpose of shore leav e seafarers shall not be required to hold a v isa. Any Mem ber which is not in a position to fully im plem ent this requirem ent shall ensure that its laws and regulations or practice prov ide arrangem ents that are substantially equiv alent.
Transit and transfer
7 . Each Mem ber for which this Conv ention is in force shall, in the shortest possible tim e, also perm it the entry into its territory of seafarers holding a v alid seafarers' identity docum ent supplem ented by a passport, when entry is requested for the purpose of:
(a) joining their ship or transferring to another ship;
(b) passing in transit to join their ship in another country or for repatriation; or any other purpose approv ed by the authorities of the Mem ber concerned.
8. Such entry shall be allowed unless clear grounds exist for doubting the authenticity of the seafarers' identity docum ent, prov ided that the com petent authorities hav e no reason to refuse entry on grounds of public health, public safety , public order or national security .
9. Any Mem ber m ay , before perm itting entry into its territory for one of the purposes specified in paragraph 7 abov e, require satisfactory ev idence, including docum entary ev idence of a seafarer's intention and ability to carry out that intention. The Mem ber m ay also lim it the seafarer's stay to a period considered reasonable for the purpose in question.
Article 7
CONTINUOUS POSSESSION AND WITHDRAWAL
2. The seafarers' identity docum ent shall be prom ptly withdrawn by the issuing State if it is ascertained that the seafarer no longer m eets the conditions for its issue under this Conv ention. Procedures for suspending or
withdrawing seafarers' identity docum ents shall be drawn up in consultation with the representativ e shipowners' and seafarers' organizations and shall include procedures for adm inistrativ e appeal.
Article 8
AMENDMENT OF THE ANNEXES
1 . Subject to the relev ant prov isions of this Conv ention, am endm ents to the Annexes m ay be m ade by the International Labour Conference, acting on the adv ice of a duly constituted tripartite m aritim e body of the International Labour Organization. The decision shall require a m ajority of two-thirds of the v otes cast by the delegates present at the Conference, including at least half the Mem bers that hav e ratified this Conv ention.
2. Any Mem ber that has ratified this Conv ention m ay giv e written notice to the Director-General within six m onths of the date of the adoption of such an am endm ent that it shall not enter into force for that Mem ber, or shall only enter into force at a later date upon subsequent written notification.
Article 9
TRANSITIONAL PROVISION
Any Mem ber which is a party to the Seafarers' Identity Docum ents Conv ention, 1 958, and which is taking
m easures, in accordance with article 1 9 of the Constitution of the International Labour Organisation, with a v iew to ratification of this Conv ention m ay notify the Director-General of its intention to apply the present Conv ention prov isionally . A seafarers' identity docum ent issued by such a Mem ber shall be treated for the purposes of this Conv ention as a seafarers' identity docum ent issued under it prov ided that the requirem ents of Articles 2 to 5 of this Conv ention are fulfilled and that the Mem ber concerned accepts seafarers' identity docum ents issued under this Conv ention.
FINAL PROVISIONS
Article 10
This Conv ention rev ises the Seafarers' Identity Docum ents Conv ention, 1 958.
Article 11
The form al ratifications of this Conv ention shall be com m unicated to the Director-General of the International Labour Office for registration.
Article 12
1 . This Conv ention shall be binding only upon those Mem bers of the International Labour Organization whose ratifications hav e been registered with the Director-General.
2. It shall com e into force six m onths after the date on which the ratifications of two Mem bers hav e been registered with the Director-General.
3 . Thereafter, this Conv ention shall com e into force for any Mem ber six m onths after the date on which its ratification has been registered.
Article 13
which the Conv ention first com es into force, by an act com m unicated to the Director-General for registration. Such denunciation shall take effect twelv e m onths after the date on which it is registered.
2. Each Mem ber which has ratified this Conv ention and which does not, within the y ear following the expiration of the period of ten y ears m entioned in the preceding paragraph, exercise the right of denunciation prov ided for in this Article, shall be bound for another period of ten y ears and, thereafter, m ay denounce this Conv ention at the
expiration of each period of ten y ears under the term s prov ided for in this Article.
Article 14
1 . The Director-General shall notify all Mem bers of the registration of all ratifications, declarations and acts of denunciation com m unicated by the Mem bers.
2. When notify ing the Mem bers of the registration of the second ratification of this Conv ention, the Director-General shall draw the attention of the Mem bers to the date upon which the Conv ention shall com e into force.
3 . The Director-General shall notify all Mem bers of the registration of any am endm ents m ade to the Annexes in accordance with Article 8, as well as of notifications relating thereto.
Article 15
The Director-General of the International Labour Office shall com m unicate to the Secretary -General of the United Nations, for registration in accordance with article 1 02 of the Charter of the United Nations, full particulars of all ratifications, declarations and acts of denunciation registered by the Director-General in accordance with the prov isions of the preceding Articles.
Article 16
At such tim es as it m ay consider necessary , the Gov erning Body of the International Labour Office shall present to the General Conference a report on the working of this Conv ention and shall exam ine the desirability of placing on the agenda of the Conference the question of its rev ision in whole or in part, taking account also of the prov isions of Article 8.
Article 17
1 . Should the Conference adopt a new Conv ention rev ising this Conv ention in whole or in part, then, unless the new Conv ention otherwise prov ides:
(a) the ratification by a Mem ber of the new rev ising Conv ention shall ipso jure inv olv e the im m ediate denunciation of this Conv ention, notwithstanding the prov isions of Article 1 3 , if and when the new rev ising Conv ention shall hav e com e into force;
(b) as from the date when the new rev ising Conv ention com es into force, this Conv ention shall cease to be open to ratification by the Mem bers.
2. This Conv ention shall in any case rem ain in force in its actual form and content for those Mem bers which hav e ratified it but hav e not ratified the rev ising Conv ention.
Article 18
The English and French v ersions of the text of this Conv ention are equally authoritativ e.
Annex I
Model for seafarers' identity docum ent
The seafarers' identity docum ent, whose form and content are set out below, shall consist of good-quality m aterials which, as far as practicable, hav ing regard to considerations such as cost, are not easily accessible to the general public. The docum ent shall hav e no m ore space than is necessary to contain the inform ation prov ided for by the Conv ention.
It shall contain the nam e of the issuing State and the following statem ent:
"This docum ent is a seafarers' identity docum ent for the purpose of the Seafarers' Identity Docum ents Conv ention (Rev ised), 2003 , of the International Labour Organization. This docum ent is a stand-alone docum ent and not a passport."
The data page(s) of the docum ent indicated in bold below shall be protected by a lam inate or ov erlay , or by apply ing an im aging technology and substrate m aterial that prov ide an equiv alent resistance to substitution of the portrait and other biographical data.
The m aterials used, dim ensions and placem ent of data shall conform to the International Civ il Av iation Organization (ICAO) specifications as contained in Docum ent 93 03 Part 3 (2nd edition, 2002) or Docum ent 93 03 Part 1 (5th edition, 2003 ).
Other security features shall include at least one of the following features:
Waterm arks, ultrav iolet security features, use of special inks, special colour designs, perforated im ages, hologram s, laser engrav ing, m icro-printing, and heat-sealed lam ination.
Data to be entered on the data page(s) of the seafarers' identity docum ent shall be restricted to:
I. Issuing authority :
II. Telephone num ber(s), em ail and web site of the authority :
III. Date and place of issue:
--- Digital or original photograph of seafarer
---(a) Full nam e of seafarer:
(b) Sex:
(c) Date and place of birth:
(d) Nationality :
(e) Any special phy sical characteristics of seafarer that m ay assist identification:
(f) Signature:
(g) Date of expiry :
(h) Ty pe or designation of docum ent:
(i) Unique docum ent num ber:
(k) Biom etric tem plate based on a fingerprint printed as num bers in a bar code conform ing to a standard to be dev eloped:
(l) A m achine-readable zone conform ing to ICAO specifications in Docum ent 93 03 specified abov e.
IV. Official seal or stam p of the issuing authority .
Explanation of data
The captions on fields on the data page(s) abov e m ay be translated into the language(s) of the issuing State. If the national language is other than English, French or Spanish, the captions shall also be entered in one of these languages.
The Rom an alphabet should be used for all entries in this docum ent.
The inform ation listed abov e shall hav e the following characteristics:
I. Issuing authority : ISO code for the issuing State and the nam e and full address of the office issuing the seafarers' identity docum ent as well as the nam e and position of the person authorizing the issue.
II. The telephone num ber, em ail and web site shall correspond to the links to the focal point referred to in the Conv ention.
III. Date and place of issue: the date shall be written in two-digit Arabic num erals in the form
day /m onth/y ear - e.g. 3 1 /1 2/03 ; the place shall be written in the sam e way as on the national passport.
- Size of the portrait photograph: as in ICAO Docum ent 93 03 specified abov e
---(a) Full nam e of seafarer: where applicable, fam ily nam e shall be written first, followed by the seafarer's other nam es;
(b) Sex: specify "M" for m ale or "F" for fem ale;
(c) Date and place of birth: the date shall be written in two-digit Arabic num erals in the form day /m onth/y ear; the place shall be written in the sam e way as on the national passport;
(d) Statem ent of nationality : specify nationality ;
(e) Special phy sical characteristics: any ev ident characteristics assisting identification;
(f) Signature of seafarer;
(g) Date of expiry : in two-digit Arabic num erals in the form day /m onth/y ear;
(h) Ty pe or designation of docum ent: character code for docum ent ty pe, written in capitals in the Rom an alphabet (S);
(i) Unique docum ent num ber: country code (see I abov e) followed by an alphanum eric book inv entory num ber of no m ore than nine characters;
(j) Personal identification num ber: optional personal identification num ber of the seafarer; identification num ber of no m ore than 1 4 alphanum eric characters;
(k) Biom etric tem plate: precise specification to be dev eloped;
Annex II
Electronic database
The details to be prov ided for each record in the electronic database to be m aintained by each Mem ber in accordance with Article 4, paragraphs 1 , 2, 6 and 7 of this Conv ention shall be restricted to:
Section 1
1 . Issuing authority nam ed on the identity docum ent.
2. Full nam e of seafarer as written on the identity docum ent.
3 . Unique docum ent num ber of the identity docum ent.
4. Date of expiry or suspension or withdrawal of the identity docum ent.
Section 2
5. Biom etric tem plate appearing on the identity docum ent.
6. Photograph.
7 . Details of all inquiries m ade concerning the seafarers' identity docum ent.
AnnexIII
Requirements and recommended procedures and practices concerning the issuance
of seafarers' identity documents
This Annex sets out m inim um requirem ents relating to procedures to be adopted by each Mem ber in accordance with Article 5 of this Conv ention, with respect to the issuance of seafarers' identity docum ents (referred to below as "SIDs"), including quality -control procedures.
Part A lists the m andatory results that m ust be achiev ed, as a m inim um , by each Mem ber, in im plem enting a sy stem of issuance of SIDs.
Part B recom m ends procedures and practices for achiev ing those results. Part B is to be giv en full consideration by Mem bers, but is not m andatory .
Part A.Mandatory results
1 . Production and deliv ery of blank SIDs
Processes and procedures are in place to ensure the necessary security for the production and deliv ery of blank SIDs, including the following:
(a) all blank SIDs are of uniform quality and m eet the specifications in content and form as contained in Annex I;
(c) blank SIDs are protected, controlled, identified and tracked during the production and deliv ery processes;
(d) producers hav e the m eans of properly m eeting their obligations in relation to the production and deliv ery 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 com pleted SIDs
Processes and procedures are in place to ensure the necessary security for the custody , handling and accountability for blank and com pleted SIDs, including the following:
(a) the custody and handling of blank and com pleted SIDs is controlled by the issuing authority ;
(b) blank, com pleted and v oided SIDs, including those used as specim ens, are protected, controlled, identified and tracked;
(c) personnel inv olv ed with the process m eet standards of reliability , trustworthiness and loy alty required by their positions and hav e appropriate training;
(d) the div ision of responsibilities am ong authorized officials is designed to prev ent the issuance of unauthorized 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 com pletion of the blank SIDs into personalized SIDs by the authority and unit responsible for issuing them , and the deliv ery of the SIDs, including:
(a) processes for v erification and approv al ensuring that SIDs, when first applied for and when renewed, are issued only on the basis of:
(i) applications com pleted with all inform ation 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 perm anent residence,
(iv ) proof that the applicant is a seafarer within the m eaning of Article 1 ,
(v ) assurance that applicants, especially those with m ore than one nationality or hav ing the status of perm anent residents, are not issued with m ore than one SID,
(v i) v erification that the applicant does not constitute a risk to security , with proper respect for the fundam ental rights and freedom s set out in international instrum ents.
(b) the processes ensure that:
(i) the particulars of each item contained in Annex II are entered in the database sim ultaneously with issuance of the SID,
(ii) the data, photograph, signature and biom etric gathered from the applicant correspond to the applicant, and
(c) prom pt action is taken to update the database when an issued SID is suspended or withdrawn;
(d) an extension and/or renewal sy stem has been established to prov ide for circum stances where a seafarer is in need of extension or renewal of his or her SID and in circum stances where the SID is lost;
(e) the circum stances in which SIDs m ay be suspended or withdrawn are established in consultation with shipowners' and seafarers' organizations;
(f) effectiv e and transparent appeal procedures are in place.
4. Operation, security and m aintenance of the database
Processes and procedures are in place to ensure the necessary security for the operation and m aintenance of the database, including the following:
(a) the database is secure from tam pering and from unauthorized access;
(b) data are current, protected against loss of inform ation and av ailable for query at all tim es through the focal point;
(c) databases are not appended, copied, linked or written to other databases; inform ation from the database is not used for purposes other than authenticating the seafarers' identity ;
(d) the indiv idual's rights are respected, including:
(i) the right to priv acy in the collection, storage, handling and com m unication of personal data; and
(ii) the right of access to data concerning him or her and to hav e any inaccuracies corrected in a tim ely m anner.
5. Quality control of procedures and periodic ev aluations
(a) Processes and procedures are in place to ensure the necessary security through the quality control of procedures and periodic ev aluations, including the m onitoring of processes, to ensure that required perform ance standards are m et, for:
(i) production and deliv ery of blank SIDs,
(ii) custody , handling and accountability for blank, v oided and personalized SIDs,
(iii) processing of applications, com pletion of blank SIDs into personalized SIDs by the authority and unit responsible for issuance and deliv ery ,
(iv ) operation, security and m aintenance of the database.
(b) Periodic rev iews are carried out to ensure the reliability of the issuance sy stem and of the procedures and their conform ity with the requirem ents of this Conv ention.
(c) Procedures are in place to protect the confidentiality of inform ation contained in reports on periodic ev aluations prov ided by other ratify ing Mem bers.
Part B. Recommended procedures and practices
1 . Production and deliv ery of blank SIDs
1 .2. If the blanks are to be produced on the prem ises 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 com petent 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 em ploy ees who will be engaged in the production of blank SIDs;
1 .3 .3 . require the enterprise to furnish the authority with proof that dem onstrates that there are adequate sy stem s in place to ensure the reliability , trustworthiness and loy alty of designated em ploy ees and to satisfy the authority that it prov ides each such em ploy ee with adequate m eans of subsistence and adequate job security ;
1 .3 .4. conclude a written agreem ent 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 em ploy ees, who m ust hav e assum ed strict obligations of confidentiality , are engaged in the production of the blank SIDs;
1 .3 .4.2. to take all necessary security m easures for the transport of the blank SIDs from its prem ises to the prem ises of the issuing authority . Issuing agents cannot be absolv ed from the liability on the grounds that they are not negligent in this regard;
1 .3 .4.3 . to accom pany each consignm ent with a precise statem ent of its contents; this statem ent should, in particular, specify the reference num bers of the SIDs in each package.
1 .3 .5. ensure that the agreem ent includes a prov ision to allow for com pletion if the original contractor is unable to continue;
1 .3 .6. satisfy itself, before signing the agreem ent, that the enterprise has the m eans of properly perform ing all the abov e obligations.
1 .4. If the blank SIDs are to be supplied by an authority or enterprise outside the Mem ber's territory , the com petent authority of the Mem ber m ay m andate an appropriate authority in the foreign country to ensure that the requirem ents recom m ended in this section are m et.
1 .5. The com petent authority should inter alia:
1 .5.1 . establish detailed specifications for all m aterials to be used in the production of the blank SIDs; these m aterials should conform to the general specifications set out in Annex I to this Conv ention;
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 uniform ity in the printing of blank SIDs if different printers are subsequently used;
1 .5.4. prov ide clear directions for the generation of a unique docum ent num ber to be printed on each blank SID in a sequential m anner in accordance with Annex I; and
1 .5.5. establish precise specifications gov erning the custody of all m aterials during the production process.
2.1 . All operations relating to the issuance process (including the custody of blank, v oided and com pleted SIDs, the im plem ents and m aterials for com pleting them , the processing of applications, the issuance of SIDs, the m aintenance 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 inv olv ed in the issuance process establishing, in the case of each of them , a record of reliability , trustworthiness and loy alty .
2.3 . The issuing authority should ensure that no officials inv olv ed in the issuance process are m em bers of the sam e im m ediate fam ily .
2.4. The indiv idual responsibilities of the officials inv olv ed in the issuance process should be adequately defined by the issuing authority .
2.5. No single official should be responsible for carry ing 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 inv olv ed 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 m eet expected day -to-day operations and only to the officials responsible for com pleting them into personalized SIDs or to any specially authorized official, and that surplus blank SIDs are returned at the end of each day ; m easures to secure SIDs should be understood as including the use of dev ices for the prev ention of unauthorized access and detection of intruders;
2.6.2. that any blank SIDs used as specim ens are defaced and m arked as such;
2.6.3 . that each day a record, to be stored in a safe place, is m aintained of the whereabouts of each blank SID and of each personalized SID that has not y et been issued, also identify ing those that are secured and those that are in the possession of a specified official or officials; the record should be m aintained by an official who is not inv olv ed in the handling of the blank SIDs or SIDs that hav e not y et been issued;
2.6.4. that no person should hav e access to the blank SIDs and to the im plem ents and m aterials for com pleting them other than the officials responsible for com pleting the blank SIDs or any specially authorized official;
2.6.5. that each personalized SID is kept secured and released only to the official responsible for issuing the SID or to any specially authorized official;
2.6.5.1 . the specially authorized officials should be lim ited to:
(a) persons acting under the written authorization of the executiv e head of the authority or of any person officially representing the executiv e 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 inv olv em ent in the issuance process for a SID applied for by a m em ber of their fam ily or a close friend;
should be prom ptly reported to the police authorities for inv estigation.
2.7 . Errors in the issuance process should inv alidate the SID concerned, which m ay 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 rev iew of applications for SIDs hav e receiv ed relev ant training in fraud detection and in the use of com puter technology .
3 .2. The issuing authority should draw up rules ensuring that SIDs are issued only on the basis of: an application com pleted and signed by the seafarer concerned; proof of identity ; proof of nationality or perm anent residence; and proof that the applicant is a seafarer.
3 .3 . The application should contain all the inform ation specified as m andatory in Annex I to this
Conv ention. The application form should require applicants to note that they will be liable to prosecution and penal sanctions if they m ake any statem ent that they know to be false.
3 .4. When a SID is first applied for, and whenev er subsequently considered necessary on the occasion of a renewal:
3 .4.1 . the application, com pleted 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 biom etric 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 transm itted by the designated official directly to the issuing authority for processing.
3 .5. Adequate m easures should be adopted by the issuing authority to ensure the security and the confidentiality of the digital or original photograph and the biom etric.
3 .6. The proof of identity prov ided by the applicant should be in accordance with the laws and practice of the issuing State. It m ay consist of a recent photograph of the applicant, certified as being a true likeness of him or her by the shipowner or shipm aster or other em ploy er of the applicant or the director of the
applicant's training establishm ent.
3 .7 . The proof of nationality or perm anent residence will norm ally consist of the applicant's passport or certificate of adm ission as a perm anent resident.
3 .8. Applicants should be asked to declare all other nationalities that they m ay possess and affirm that they hav e not been issued with and hav e not applied for a SID from any other Mem ber.
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 sy stem should apply in circum stances where a seafarer is aware in adv ance that the period of serv ice is such that he or she will be unable to m ake his or her application at the date of expiry or renewal;
3 .9.2. An extension sy stem should apply in circum stances where an extension of a SID is required due to an unforeseen extension of the period of serv ice;
docum ent can be issued.
3 .1 0. The proof that the applicant is a seafarer, within the m eaning of Article 1 of this Conv ention should at least consist of:
3 .1 0.1 . a prev ious SID, or a seafarers' discharge book; or
3 .1 0.2. a certificate of com petency , qualification or other relev ant training; or
3 .1 0.3 . equally cogent ev idence.
3 .1 1 . Supplem entary proof should be sought where deem ed appropriate.
3 .1 2. All applications should be subject to at least the following v erifications by a com petent official of the issuing authority of SIDs:
3 .1 2.1 . v erification that the application is com plete and shows no inconsistency raising doubts as to the truth of the statem ents m ade;
3 .1 2.2. v erification that the details giv en and the signature correspond to those on the applicant's passport or other reliable docum ent;
3 .1 2.3 . v erification, with the passport authority or other com petent authority , of the genuineness of the passport or other docum ent 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 relev ant pages m ay be sent;
3 .1 2.4. com parison of the photograph prov ided, where appropriate, with the digital photograph referred to in section 3 .4.2 abov e;
3 .1 2.5. v erification of the apparent genuineness of the certification referred to in section 3 .6 abov e;
3 .1 2.6. v erification that the proof referred to in section 3 .1 0 substantiates that the applicant is indeed a seafarer;
3 .1 2.7 . v erification, in the database referred to in Article 4 of the Conv ention, to ensure that a person corresponding to the applicant has not already been issued with a SID; if the applicant has or m ay hav e m ore than one nationality or any perm anent residence outside the country of nationality , the necessary inquiries should also be m ade with the com petent authorities of the other country or countries concerned;
3 .1 2.8. v erification, in any relev ant national or international database that m ay be accessible to the issuing authority , to ensure that a person corresponding to the applicant does not constitute a possible security risk.
3 .1 3 . The official referred to in section 3 .1 2 abov e should prepare brief notes for the record indicating the results of each of the abov e v erifications, and drawing attention to the facts that justify the conclusion that the applicant is a seafarer.
3 .1 4. Once fully checked, the application, accom panied by the supporting docum ents and the notes for the record, should be forwarded to the official responsible for com pletion of the SID to be issued to the applicant.
3 .1 5. The com pleted SID, accom panied by the related file in the issuing authority , should then be forwarded to a senior official of that authority for approv al.
justified.
3 .1 7 . This approv al should be giv en in writing and be accom panied by explanations concerning any features of the application that need special consideration.
3 .1 8. The SID (together with the passport or sim ilar docum ent prov ided) 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 shipm aster or em ploy er in both cases by reliable postal com m unication requiring adv ice of receipt.
3 .1 9. When the SID is issued to the applicant, the particulars specified in Annex II to the Conv ention should be entered in the database referred to in Article 4 of the Conv ention.
3 .20. The rules of the issuing authority should specify a m axim um period for receipt after dispatch. If adv ice of receipt is not receiv ed within that period and after due notification of the seafarer, an
appropriate annotation should be m ade in the database and the SID should be officially reported as lost and the seafarer inform ed.
3 .21 . All annotations to be m ade, such as, in particular, the brief notes for the record (see section 3 .1 3 abov e) and the explanations referred to in section 3 .1 7 , should be kept in a safe place during the period of v alidity of the SID and for three y ears afterwards. Those annotations and explanations required by section 3 .1 7 should be recorded in a separate internal database, and rendered accessible: (a) to persons responsible for m onitoring operations; (b) to officials inv olv ed in the rev iew of applications for SIDs; and (c) for
training purposes.
3 .22. When inform ation is receiv ed suggesting that a SID was wrongly issued or that the conditions for its issue are no longer applicable, the m atter should be prom ptly notified to the issuing authority with a v iew to its rapid withdrawal.
3 .23 . When a SID is suspended or withdrawn the issuing authority should im m ediately update its database to indicate that this SID is not currently recognized.
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 inform ed of his or her right of appeal and fully inform ed 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 com plete consideration.
4. Operation, security and m aintenance of the database
4.1 . The issuing authority should m ake the necessary arrangem ents and rules to im plem ent Article 4 of this Conv ention, ensuring in particular:
4.1 .1 . the av ailability of a focal point or electronic access ov er 24 hours a day , sev en day s a week, as required under paragraphs 4, 5 and 6 of Article 4 of the Conv ention;
4.1 .2. the security of the database;
4.1 .3 . the respect for indiv idual rights in the storage, handling and com m unication of data;
4.1 .4. the respect for the seafarer's right to v erify the accuracy of data relating to him or her and to hav e corrected, in a tim ely m anner, any inaccuracies found.
4.2. The issuing authority should draw up adequate procedures for protecting the database, including:
4.2.2. the restriction to specially authorized officials of perm ission to access or m ake changes to an entry in the database once the entry has been confirm ed by the official m aking it.
5. Quality control of procedures and periodic ev aluations
5.1 . The issuing authority should appoint a senior official of recognized integrity , loy alty and reliability , who is not inv olv ed in the custody or handling of SIDs, to act as controller:
5.1 .1 . to m onitor on a continuous basis the im plem entation of these m inim um requirem ents;
5.1 .2. to draw im m ediate attention to any shortcom ings in the im plem entation;
5.1 .3 . to prov ide the executiv e head and the concerned officials with adv ice on im prov em ents to the procedures for the issuance of SIDs; and
5.1 .4. to subm it a quality -control report to m anagem ent on the abov e. The controller should, if possible, be fam iliar with all the operations to be m onitored.
5.2. The controller should report directly to the executiv e head of the issuing authority .
5.3 . All officials of the issuing authority , including the executiv e head, should be placed under a duty to prov ide the controller with all docum entation or inform ation that the controller considers relev ant to the perform ance of his or her tasks.
5.4. The issuing authority should m ake appropriate arrangem ents to ensure that officials can speak freely to the controller without fear of v ictim ization.
5.5. The term s of reference of the controller should require that particular attention be giv en to the following tasks:
5.5.1 . v erify ing that the resources, prem ises, equipm ent and staff are sufficient for the efficient perform ance of the functions of the issuing authority ;
5.5.2. ensuring that the arrangem ents for the safe custody of the blank and com pleted SIDs are adequate;
5.5.3 . ensuring that adequate rules, arrangem ents or procedures are in place in accordance with sections 2.6, 3 .2, 4 and 5.4 abov e.
5.5.4. ensuring that those rules and procedures, as well as arrangem ents, are well known and understood by the officials concerned;
5.5.5. detailed m onitoring 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. v erification of the efficacy of the security m easures used for the custody of blank SIDs, im plem ents and m aterials;
5.5.7 . v erification, if necessary with the aid of a trusted expert, of the security and v eracity of the inform ation stored electronically and that the requirem ent for 24 hours a day , sev en day s a week access is m aintained;
5.5.8. inv estigating 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 m alpractice or weakness in sy stem s that could hav e resulted in or assisted the wrongful issuance or falsification or fraud;
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requirem ents of paragraphs 2, 3 and 5 of Article 4 of the Conv ention, or inaccuracies in those details;
5.5.1 0. ensuring that reports identify ing im prov em ents to the issuance procedures and areas of weakness hav e been acted upon in a tim ely and effectiv e m anner by the executiv e head of the issuing authority ;
5.5.1 1 . m aintaining records of quality -control checks that hav e been carried out;
5.5.1 2. ensuring that m anagem ent rev iews of quality -control checks hav e been perform ed and that records of such rev iews are m aintained.
5.6. The executiv e head of the issuing authority should ensure a periodic ev aluation of the reliability of the issuance sy stem and procedures, and of their conform ity with the requirem ents of this Conv ention. Such ev aluation should take into account the following:
5.6.1 . findings of any audits of the issuance sy stem and procedures;
5.6.2. reports and findings of inv estigations and of other indications relev ant to the effectiv eness of correctiv e action taken as a result of reported weaknesses or breaches of security ;
5.6.3 . records of SIDs issued, lost, v oided or spoiled;
5.6.4. records relating to the functioning of quality control;
5.6.5. records of problem s with respect to the reliability or security of the electronic database, including inquiries m ade to the database;
5.6.6. effects of changes to the issuance sy stem and procedures resulting from technological im prov em ents or innov ations in the SID issuance procedures;
5.6.7 . conclusions of m anagem ent rev iews;
5.6.8. audit of procedures to ensure that they are applied in a m anner consistent with respect for fundam ental principles and rights at work em bodied in relev ant ILO instrum ents.
5.7 . Procedures and processes should be put in place to prev ent unauthorized disclosure of reports prov ided by other Mem bers.
5.8. All audit procedures and processes should ensure that the production techniques and security practices, including the stock control procedures, are sufficient to m eet the requirem ents of this Annex.
See related
Revisions
C108 - Revised: C108 This Convention revises the Seafarers' Identity Documents
