Annex 1
EMAA Seafarer Document Processing Unit Objectives
The Maritime Administration Directorate (MARAD) of the Ethiopian Maritime Affairs Authority (EMAA) is responsible for the issuance of seafarer’s documents that are in accordance with the requirements of the International Convention of Standards of Training, Certification and Watch Keeping for Seafarers, 1978, as amended. (Hereafter, STCW Convention as amended)
The following objectives have been established for EMAA’s Seafarer Document Processing Unit:
1. Ensure the accuracy and reputational credibility of Ethiopian seafarer documentation through a controlled production and monitoring process.
a. Consistently seek to improve the sophistication and integrity of Ethiopian seafarer documents to prevent fraudulent behavior.
b. Maintain a controlled production process for the production of Ethiopian seafarer documents with clear security procedures that prevent fraud.
c. Maintain a controlled fraud investigation system that monitors instances of reported abuse.
2. Maintain awareness of and complete knowledge of the STCW Convention and the workings of the International Maritime Organization. This will be accomplished by:
a. Review of submissions to STCW for proposed revisions of or amendments to the STCW Convention and keep the appropriate staff informed of any potential changes that may affect the operation.
b. Attendance at STCW meetings at IMO so as to provide staff with up-to-date information regarding industry “best practices.”
3. To train the MARAD Staff on ISO 9001-2008 quality standards and ensure continual improvement.
Annex 2
EMAA Seafarer Document Processing Flow Chart- WI-MA-01
CHECK LIST FOR REVIEWING MARINER APPLICATION
No. ITEM Person Responsible YES NO REMARK
1 Review of application
1.1 The applicant submits necessary documents along with application letter Competency Expert
1.2 Competency expert checks that all required documents are supplied by the applicant Competency Expert
1.3 Competency expert checks the validity of all required documents/credentials supplied by the applicant Competency Expert
1.4 Competency expert inputs the applicant’s personal details on the Certificate (see below for COC) Competency Expert
1.5 *Document is given to safety team leader and the Director of the Maritime Administration Directorate for verification Director of Maritime Administration Directorate
1.6 Document is signed by the Director of the Maritime administration or the Director General of EMAA Director General of EMAA /
Director of Maritime Administration Directorate
1.7 Document is given to the Record and Documentation Officer who properly stamps the issued seafarer document with an official EMAA stamp and distributes the issued seafarer document to the applicant Archive Officer
1.8 Competency expert inputs the applicant’s personal details into EMAA’s seafarer database and maintain a copy of the same for administrative purposes Competency Expert
NOTE
* For COC the following officials check the application document
1. Maritime safety team leader,
2. Nautical adviser or Engineer adviser before the document is submitted to MARAD director
CHECKED BY

DATE

REVIEWED BY

PLACE
Annex 3
Seafarer Application & Document Storage Procedure

It is essential that the MARAD ensures the proper storage and inventory management of document applications and non-issued seafarer document templates such as Seafarer Books, COC’s, Basic Training Certificates, and Endorsement Certificates. The following are procedures for maintaining the integrity of the Department’s inventory.
1) Seafarer Document Application Forms:
a. After receiving seafarer document application forms from customers MARAD clerks are instructed to provide each application a case number. Case Numbers should be applied in ascending order so that each application is one digit point above the preceding application.
b. Customer applications for seafarer documents should be stored in a central file cabinet of the MARAD.
i. The file cabinet should be safely locked when employees are not removing or inputting documents. There should be a controlled number of keys that are stored in the Maritime Administration Directorate.
ii. The following are individuals that are permitted to have key access to the application storage cabinet:
Director of the Maritime Administration Directorate
Competency Expert
Secretary of the Directorate
2) Non-issued Seafarer Documents:
a. After receiving newly printed seafarer documents from the government-owned/controlled printing press, the Directorate clerks are instructed to store such non-issued documents in a central storage cabinet of the Maritime Administration Directorate (MARAD).
i. The file cabinet should be safely locked when employees are not removing or inputting documents. There should be a controlled number of keys that are stored in the MARAD.
ii. The following are individuals that are permitted to have key access to the seafarer document inventory cabinet:
Director of the Maritime Administration Directorate
Competency Expert
Secretary of the Directorate
Annex 4
Ethiopian Maritime Affairs Authority (EMAA) Seafarer Application Checklist Procedure WI-MA-02(01)
The Ethiopian Maritime Affairs Authority (EMAA) , by the power entrusted to it in Article 17 of Proclamation No. 549/2007, issues the following documents to Ethiopian seafarers, sailing both on national and foreign flag vessels.

I. Requirements for the issuance of Ethiopian Seaman Book and Basic Safety Training Certificate :-

1. One copy and original of valid I.D/ pass port:
2. Proof of completion of Basic Safety Training as per STCW , as amended
3. Medical certificate
4. Two 3X3 photograph of not more than 6 months old;
5. Service charge, Birr 250 Birr
6. Back ground check from police (police certificate)
II. Seaman Book renewal
Seaman book renewal is every five years. Requirements for renewal are:-
1. One copy and an original of medical certificate;
2. Service charge, Birr 100.
3. Proof of completion of Basic Safety Training as per the STCW Convention , as amended
III. Certificate of Competency
The Maritime Administration of Ethiopia issues Certificate of Competency upon receiving the following documents from the Maritime Training Centers in Ethiopia:-
1. An aggregate of Applicant’s final exam result, (written, Oral and/or simulator exam result);
2. An Original and a copy of Certificate of training issued by the Maritime Training Center ;
3. Original and copy of basic safety training certificate ;
4. Original and copy of proficiency on survival craft and rescue boat ;
5. Original and a copy of Advanced Fire Fighting Certificate;
6. Original and a copy of Medicare ( class I and II) and medical first aid ;
7. GMDSS GOC for F.G class I/II, ROC for near coastal I/II near coastal ;
8. Minimum sea service as per the requirements of the Convention to be verified from Ethiopian seaman book, and/or sea testimonial from the Ch. Engineer, Master of the vessel or company superintendent ;
9. One copy and original Medical certificate from approved medical practitioner;
10. Ship security officer/Security awareness training (not required to submit);
11. High voltage, if applicable;
12. Environmental awareness, if applicable;
13. Leadership and management skill, if applicable;
14. Two 3X3 photograph of not more than 6 months old;
15. Service charge, Birr 250 Birr
IV. Endorsement Certificates
EMAA recognizes COCs, Certificate of Proficiencies and issue Certificate of Endorsement as per the STCW Convention, Reg. I/10 to serve on Ethiopian flag ships, up on the fulfillment of the under listed:-
1. The issuing country is signatory to STCW Convention;
2. The Training Institute is recognized by the COC issuing flag State;
3. The Maritime Administration of the issuing country has signed MOU with Maritime Administration of Ethiopia;
4. Case by case COC from known white listed flag states may be endorsed by EMAA even though no.3 is not satisfied;
5. Medical Certificate;
6. Sea service and any related compulsory training for the certificate may be checked
7. Proof of identity, and age;
8. Two 3X3 photograph of not more than 6 months old; and
9. Service charge, Birr 250 Birr.

V. Certificate of rating forming a navigation or Engine room watch(Deck/Engine rating Watch keeping Certificate)

1. An Original and a copy of Certificate of Completing special training issued by the Maritime Training Center and Minimum 2 months of sea time verified from Ethiopian seaman book,
2. and/or Name of the candidate must be included in the name list of the letter directly received from the training center;
3. Original and a copy of Basic safety training certificates;
4. One copy and original Medical certificate from approved medical practitioner;
5. Candidate shall not be less than 16 years age, verified by seaman book or passport;

6. Security awareness training (not required to submit);
7. Two 3X3 photograph of not more than 6 months old;
8. Service charge, Birr 150 Birr

VI. Certification of Electro Technical Rating

1. An Original and a copy of Certificate of Completing special training issued by the Maritime Training Institute and/or Name of the candidate Must be included in the name list of the letter directly received from the training institute
2. Original and a copy of Basic safety training certificates,
3. Minimum 6 months of sea time verified from Ethiopian seaman book,
4. One copy and original Medical certificate from approved medical practitioner
5. Candidate shall not be less than 18 years age, verified by seaman book or passport
6. Security awareness training (not required to submit)
7. Two 3X3 photograph of not more than 6 months old
8. Service charge, Birr 150 Birr

VII. Revalidation of Certificate of Competency
Revalidation is every 5 years as per STCW Convention Regulation I/11. Every master, officer and rating certified by the Authority for revalidation has to:-
1. Meet the standards of medical fitness prescribed by Reg.I/9;
2. Has to establish continued professional competence in accordance with section A-I/11 of the STCW Code.

3. EMAA shall prepare a marine notice that notifies ship owners, masters, seafarers and other stakeholders about the requirements for revalidation of COCs and certificates of proficiencies (COP) for tankers. The marine notice to be issued shall be in line with section A1/11 paragraph 3 of the STCW Code.
Annex 5
EMAA Document Authenticity Review
The Maritime Administration Directorate (MARAD) of the Ethiopian Maritime Affairs Authority ( EMAA) is responsible for verifying that reported credentials submitted by applicant seafarers are authenticate and valid. There are two recognized training institutes in Ethiopia that train Ethiopian seafarers, the Ethiopian Maritime Training Institute (EMTI S.C.) in Bahir Dar, and the Ethiopian Shipping and Logistics Services Enterprise’ (ESL) training center at Babogaya at rating level. EMAA only processes seafarer document applications if they receive authenticate certificates from these two institutions.

EMAA competency experts review the authenticity of seafarer credential documentation by comparing them with sample certificates directly provided by the ESL training center in Babogaya and EMTI; and list of trainees is received from the training institutions directly. Competency experts shall be visually familiar with the training certificates from these two institutions. If there is any suspected irregularity, competency experts are required to immediately contact the relevant training center n to check if there is any record of the applicant seafarer.
Annex 6
EMAA Office Building Security Procedure

It is a central objective of the Ethiopian Maritime Affairs Authority (EMAA) to monitor the physical building security of the office. This is necessary for ensuring the physical security of the inventory of seafarer document templates and seafarer personal data. It is for this reason that the following procedures have been instituted:
1. All visitors to the EMAA office must be processed by the building security staff on the ground floor. Building security staff are instructed to provide body-checks of visitors.

2. There shall be put Security personnel in all EMAA office floors to monitor the security of the EMAA Office and if necessary shall escort visitors from the ground floor to EMAA Office.
Annex 7
EMAA Database Security Procedure
It is the responsibility of the Maritime Administration Directorate to manage the centralized database of issued seafarer documents. This database is a controlled document that can only be accessed by a selected group of individuals. The following EMAA employees are granted permission to access the seafarer document database:
1. EMAA Director-General/Deputy Director General
2. Maritime Administration Directorate
3. Competency Expert
The seafarer document database is password protected. Only EMAA employees with authorized access are privy to this password.
It is the responsibility of the Competency Expert to change the database’s access password at least once a month. The purpose of this procedure is to continuously maintain the integrity of used passwords. The Competency Expert should notify all authorized users of newly issued passwords.
Annex 8
EMAA Fraud Investigation Procedure

It is the responsibility of the Maritime Administration Directorate (MARAD) to investigate any reported or suspected cases of fraud related to Ethiopian seafarer documents. The Directorate is tasked with overseeing a comprehensive database of reported fraud cases, as well as maintaining open channels of communication with global maritime agencies and private entities who may require verification of Ethiopian seafarer document authenticity. The following procedures are in place to ensure an effective fraud investigation system:

1. The MARAD tracks all cases of reported fraud regarding Ethiopian seafarer documents in the Fraud Investigation Database. It is the responsibility of the Competency Expert to input data regarding reported fraud into the database. Each reported case is assigned a case number in the database.
2. After data regarding a reported fraud case is recorded in the Fraud Investigation Database, a MARAD representative along with the Legal department of EMAA is assigned to review the suspected fraud.
a. The investigators must cross check the personal and document details of the alleged violator with the MARAD k Seafarer Document Database.
b. The suspected forged document must also be inspected either in-person or through photograph copies.
c. The investigator must report his/her findings in the Fraud Investigation Database and provide such findings to the inquiring/reporting party.
3. If fraud investigator verifies that fraud has in fact been perpetrated he/she is instructed to immediately report the case to the inquiring/reporting party as well as the necessary Ethiopian legal authorities.
Annex 9
EMAA Voided Document Policy

Voided Book Policy

Ethiopian Seafarer identification and record books are voided for several reasons:
A) In- house errors, such as improper processing of the photo, or improperly entered data. The Book is stamped or noted as being “void” and saved in a basket labeled VOID BOOKS.

B) Additional reasons for voiding a book include the situation where the agent receives the book and notices that the book is not what he or she ordered, or other errors. In this instance we inform them that we will issue a new book and they are to destroy by shredding the old book upon receipt of the new book. If the book is sent back to the Authority it is marked “Void” and placed in the basket with the other voided books for that current month. A correction should also be implemented in the “Issued Document” database by noting the mistaken book number and the corrected book number.

C) There are situations when a book is voided and EMAA does not get it back. For example, when EMAA discovers that a book was issued based on fraudulently supplied information, the Authority must manually go into the database and change the status to“Void.” This fraudulent book should also be entered into the “Fraud Investigation” database.

Voided books are destroyed by shredding after the necessary data entry has been made into the Excel sheet.
Voided License Policy

Ethiopian License of Competence to merchant marine officers are voided for several reasons:
A) In- house errors, such as improper processing of the photo, or improperly entered data. Such errors are caught in house but the License may need to be voided. The License is stamped or noted as being “void” and saved in a basket labeled VOID COC’S.

B) Additional reasons for voiding a license include the situation where the agent receives the license and notices that the license is not what he or she ordered, or other errors. In this instance he/she’ll be informed that a new License will be issued and they are to destroy by shredding the old License upon receipt of the new License. They are asked to copy the front and back of the License and send as an attachment to an email so that EMAA gets the control number. The attachment is printed out and placed in the basket for entry into the Excel voided officer License sheet. If the License is sent back to EMAA it is marked “Void” and placed in the basket with the other voided Licenses for that current month. A correction should also be implemented in the “Issued Document” database by noting the mistaken license number and the corrected license number.

C) There are situations when a License is voided and EMAA does not get it back. For example, when the Authority discovers that a License was issued based on fraudulently supplied information, we must manually go into the database and change the status to “Void.”

Licenses are destroyed by shredding after the necessary entry has been made into the Excel sheet.
Annex 10
Error Rate Review Procedure
It is an objective of the Maritime Administration Directorate of EMAA to ensure the accuracy of issued documents. This is important for maintaining customer satisfaction and proper recording keeping of all Ethiopian seafarer documents. It is for this reason that the Directorate has instituted an Error Rate Review Process.
An “error” is a document that needs to be corrected or re-issued due to a production mistake. On a monthly basis, a comparison is made of the number of reported errors versus the number of issued documents to arrive at an error rate. EMAA’s goal is an error rate of a return cost of less than ½ of 1% of total value of documents issued on a monthly basis.
If the weekly/monthly review shows a pattern of specific errors that suggest a problem with the procedures or training, the errors will be discussed at a scheduled staff meeting. An error rate higher than ½ of 1% as measured on a 12 month running average shall be reported on a non-conformity report with a proposed plan for corrective action. Any Quarterly period where the error rate is higher than ½ of 1% shall be analyzed and corrective actions implemented.