Circular Letter
MSC/Circ.1089
GUIDANCE ON RECOMMENDED ANTI-FRAUD MEASURES AND FORGERY PREVENTION FEATURES FOR
CERTIFICATES
(adopted
on 5 June 2003)
1.
The Sub-Committee on Standards of Training and Watchkeeping, at its
thirty-fourth session (24 to 28 February 2003), recalled its consideration at
its previous session of preventative measures aimed at combating unlawful
practices associated with certificates of competency and the list of high
priority actions that had been identified. In order to promote such
preventative measures, the Sub-Committee developed guidance on recommended
anti-fraud measures and forgery prevention features for certificates, as given
at Annex.
2.
The Maritime Safety Committee at its seventy-seventh session (28 May to 6 June
2003) subsequently endorsed the guidance developed by the STW Sub-Committee and
approved this circular.
3.
Member Governments are invited to bring this circular to the attention of all
concerned.
ANNEX.
GUIDANCE ON ANTI-FRAUD MEASURES AND FORGERY PREVENTION FOR CERTIFICATES
1.
Although a number of Member Governments have adopted, over the years, various
features, measures or procedures for the Purpose of preventing fraud, tampering
with or forgery of certificates issued by them a study*, recently undertake by
the Organization, indicates that fraudulent or forgered certificates continue
to appear.
______________
* Refer to "Unlawful Practices Associated
with Certificates of Competency", a study undertaken by the Seafarers'
International Research Centre (SIRC), Cardiff University and presented to STW
33.
1.1 The aim of this guidance
is to provide, on the basis of the findings of the aforesaid study, information
on the various anti-fraud and anti-forgery measures and procedures a Member
Government may adopt.
1.2 This guidance recognizes
that a number of Member Governments have in place measures or procedures
addressing the issue of fraud and forgery. It is up to each Member Government
to decide how to make use of the guidance provided in this circular or at which
stage it will revise existing or introduce new measures or procedures in this
respect. However, in view of the fact that the possibility that various forms
of fraud may have been involved in the issue of certificates in the past and
that this may have not been detected, Member Governments should consider how
this aspect should be addressed in connection with any certificates that have
been issued by them in the past.
1.3 This guidance does not
suggest that certificates, already issued to seafarers, should be withdrawn or
reissued. Nevertheless, in case a Member Government decides to revise its
existing measures or procedures or to introduce new ones, it is advisable to
maintain appropriate records through which it will be possible to easily
identify the arrangements which were applied when a specific certificate was
issued.
1.4 The Maritime Safety
Committee has adopted MSC/Circ.1090 which provides guidance relating to various
unlawful practices, which have been detected, in connection with certificates
of competency. MSC/Circ.1090 provides a further useful source of information
which may be used in the efforts to address attempts of fraud or forgery.
1.5 The Organization will
continue its efforts to address the issues of fraud or forgery in this area. In
this respect it is beneficial if Member Governments report to the Organization
details of the various forms of fraud or forgery they have detected so as to
enable the Organization to identify new or emerging trends or patterns.
2.
During the recent years the word processing and printing technologies have
rapidly advanced and nowadays offer a considerable number of options when it
comes to features which aim at preventing fraud or protecting documents from
tampering. As a result of the technological advancements the relative costs of
these features has considerably decrease and any document may include more than
one feature. The most common features, widely available nowadays, include inter
alia the following:
.1 the use of special inks;
.2 the use of gradient
colours;
.3 the use of special
security paper or of paper containing watermarks visible when the document is
held at an angle against the light;
.4 the use of fluorescent
ink visible with ultraviolet light;
.5 the use of digitized
photographs and/or signatures;
.6 the use of smart chips or
bar codes;
.7 special thermal coverage
of the seafarer's photograph;
.8 the use of heat sealed
laminates; and
.9 the use of features, such
as redundant data, which are carried over in digital images or other copies.
2.1
Member Governments should make and encourage the use of modern technology
features to prevent fraud and to protect the integrity of certificates. The use
of modern technologies makes replication of the certificates extremely
difficult and attempts to alter data easily detectable.
2.2
Member Governments, when considering the use of smart chips or bar codes or
other similar data retention features, should carefully consider the type and
nature of the data to be included in such features, bearing in mind the need to
protect and to ensure the confidentially of the personal information of each
seafarer.
Structured anti-fraud and anti-forgery
policies and procedures
3.
Member Governments should develop and implement appropriate structured
anti-fraud and forgery prevention policies and procedures, in compliance with
Regulation I/8 of the STCW 78 as amended and section A-I/8 of the STCW Code,
which may include various measures as follows:
.1 the policy objectives;
.2 the features of each
certificate;
.3 procedures to control the
printing, storage, handling and distribution of blank certificates;
.4 procedures to be followed
when issuing certificates;
.5 procedures for handling
(or condemning) defective or damage blank certificates or certificates which
have been identified as containing errors after they have been prepared for
issue;
.6 procedures for
maintaining and updating records of certificates issued;
.7 procedures for the issue
of certificates to replace the ones which are lost or damaged;
.8 procedures or measures to
prevent unauthorized access to database containing information relating to
certificates and related records;
.9 procedures for internal
auditing;
.10 procedures for reporting
alleged frauds or forgeries;
.11 procedures for
investigating alleged frauds or forgeries; and
.12 procedures for periodic
review of the measures and procedures in place.
3.1
When developing structured policies and procedures the competent authorities
may benefit from the knowledge and experience of other Government services
which are engaged in the issue of documents (e.g. passports, identification
documents, driving licences, etc.) which require protection from fraud or
forgery.
3.2
Member Governments should identify which of the measures and procedures (e.g.
features of certificates, controlling or handling blank certificates, conduct
of unscheduled internal audits) implemented by them need to be protected from
unauthorized access or disclosure so as not to compromise the overall
objectives.
4.
Ancillary certificates do not always contain the same level of counter forgery
protection as certificates of competency.
4.1 Member Governments
should:
.1 consider developing
standardized formats for ancillary certificates issued by the. Administration
to seafarers after they have successfully passed training courses at maritime
training establishments;
.2 consider and determine
the features and the protective measures to be included in ancillary
certificates so as to make forgery difficult and enable the easy detection of
tampering;
.3 consider and determine
which of the ancillary certificates, issued by them, should include the
photograph of the seafarer; and
.4 consider establishing
appropriate procedures through which the issue of such certificates will be
monitored and controlled.
5.
Member Governments should consider, bearing in mind this Guidance, establishing
procedures to be applied (or guidelines to be followed) by maritime training
providers when a maritime training provider is to be authorized to issue
certificates on the basis of the various programmes offered by it.
5.1 In addition, Member
Governments should consider establishing the measures or procedures the
Government will apply for the purposes of either regular monitoring the issue
of certificates by such maritime training providers or for responding to
requests for verification of the authenticity of such certificates.
Reporting alleged frauds or forgeries
6.
Member Governments should establish and widely disseminate the contact points
to which alleged frauds or forgeries are to be reported (e.g. seafarers,
maritime training providers, Companies, masters, manning agents, other
Governments), as well as, information on the documents which should be
submitted to them for investigating such cases.
Penalties and disciplinary measures
7.
Member Governments should establish an appropriate administrative and legal
framework through which alleged frauds or forgeries will be investigated and,
in case the allegations are confirmed, for imposing appropriate severe
penalties and/or taking disciplinary measures against seafarers holding
fraudulent or forged certificates or for imposing appropriate penalties against
the Companies* who knowingly employ them.