1、Quality Assurance and Security Management for Private Security Companies Operating at Sea - GuidanceA S I S I N T E R N A T I O N A L STANDARDAMERICAN NATIONALANSI/ASIS PSC.4-201342721ASFIS_Cover-R1.indd 2 3/20/2013 12:57:30 PM1625 Prince StreetAlexandria, Virginia 22314-2818 USA+1.703.519.6200Fax:
2、+1.703.519.6299www.asisonline.org 42721ASFIS_Cover-R1.indd 1 3/20/2013 12:57:29 PM42721ASFIS_Cover-R1.indd 3 3/20/2013 12:57:30 PMASIS International (ASIS) is the preeminent organization for security professionals, with more than 38,000 members worldwide. Founded in 1955, ASIS is dedicated to increa
3、sing the effectiveness and productivity of security professionals by developing educational programs and materials that address broad security interests, such as the ASIS Annual Seminar and Exhibits, as well as specific security topics. ASIS also advocates the role and value of the security manageme
4、nt profession to business, the media, governmental entities, and the general public. By providing members and the security community with access to a full range of programs and services, and by publishing the industrys number one magazine, Security Management, ASIS leads the way for advanced and imp
5、roved security performance. For more information, visit www.asisonline.org.42721ASFIS_Cover-R1.indd 4 3/20/2013 12:57:30 PMANSI/ASIS PSC.4-2013 an American National Standard QUALITY ASSURANCE AND SECURITY MANAGEMENT FOR PRIVATE SECURITY COMPANIES OPERATING AT SEA GUIDANCE A management systems approa
6、ch for maritime private security service providers operating at sea Approved January 29, 2013 American National Standards Institute, Inc. ASIS International Abstract This Standard provides guidance for the implementation of the ANSI/ASIS PSC.1-2012, Management System for Quality of Private Security
7、Company Operations - Requirements with Guidance and/or the ISO 9001:2008, Quality management systems Requirements or the ISO 28000:2007, Specification for security management systems for the supply chain standards. The guidance enables Private Maritime Security Companies (PMSCs) to implement these m
8、anagement systems which contain auditable criteria for private security company operations at sea. This Standard enables organizations operating at sea to implement the auditable requirements of the ANSI/ASIS PSC.1 and/or the ISO 9001 or ISO 28000 based on the Plan-Do-Check-Act model for third-party
9、 certification of PMSCs working for any client. ANSI/ASIS PSC.4-2013 ii NOTICE AND DISCLAIMER The information in this publication was considered technically sound by the consensus of those who engaged in the development and approval of the document at the time of its creation. Consensus does not nec
10、essarily mean that there is unanimous agreement among the participants in the development of this document. ASIS International standards and guideline publications, of which the document contained herein is one, are developed through a voluntary consensus standards development process. This process
11、brings together volunteers and/or seeks out the views of persons who have an interest and knowledge in the topic covered by this publication. While ASIS administers the process and establishes rules to promote fairness in the development of consensus, it does not write the document and it does not i
12、ndependently test, evaluate, or verify the accuracy or completeness of any information or the soundness of any judgments contained in its standards and guideline publications. ASIS is a volunteer, nonprofit professional society with no regulatory, licensing or enforcement power over its members or a
13、nyone else. ASIS does not accept or undertake a duty to any third party because it does not have the authority to enforce compliance with its standards or guidelines. It assumes no duty of care to the general public, because its works are not obligatory and because it does not monitor the use of the
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16、ormance of any individual manufacturer or sellers products or services by virtue of this standard or guide. In publishing and making this document available, ASIS is not undertaking to render professional or other services for or on behalf of any person or entity, nor is ASIS undertaking to perform
17、any duty owed by any person or entity to someone else. Anyone using this document should rely on his or her own independent judgment or, as appropriate, seek the advice of a competent professional in determining the exercise of reasonable care in any given circumstances. Information and other standa
18、rds on the topic covered by this publication may be available from other sources, which the user may wish to consult for additional views or information not covered by this publication. ASIS has no power, nor does it undertake to police or enforce compliance with the contents of this document. ASIS
19、has no control over which of its standards, if any, may be adopted by governmental regulatory agencies, or over any activity or conduct that purports to conform to its standards. ASIS does not list, certify, test, inspect, or approve any practices, products, materials, designs, or installations for
20、compliance with its standards. It merely publishes standards to be used as guidelines that third parties may or may not choose to adopt, modify or reject. Any certification or other statement of compliance with any information in this document should not be attributable to ASIS and is solely the res
21、ponsibility of the certifier or maker of the statement. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written consent of t
22、he copyright owner. Copyright 2013 ASIS International ISBN: 978-1-934904-46-6 ANSI/ASIS PSC.4-2013 iii FOREWORD The information contained in this Foreword is not part of this American National Standard (ANS) and has not been processed in accordance with ANSIs requirements for an ANS. As such, this F
23、oreword may contain material that has not been subjected to public review or a consensus process. In addition, it does not contain requirements necessary for conformance to the Standard. ANSI guidelines specify two categories of requirements: mandatory and recommendation. The mandatory requirements
24、are designated by the word shall and recommendations by the word should. Where both a mandatory requirement and a recommendation are specified for the same criterion, the recommendation represents a goal currently identifiable as having distinct compatibility or performance advantages. About ASIS AS
25、IS International (ASIS) is the preeminent organization for security professionals, with more than 38,000 members worldwide. ASIS is dedicated to increasing the effectiveness and productivity of security professionals by developing educational programs and materials that address broad security intere
26、sts, such as the ASIS Annual Seminar and Exhibits, as well as specific security topics. ASIS also advocates the role and value of the security management profession to business, the media, government entities, and the public. By providing members and the security community with access to a full rang
27、e of programs and services and by publishing the industrys No. 1 magazine Security Management ASIS leads the way for advanced and improved security performance. The work of preparing standards and guidelines is carried out through the ASIS International Standards and Guidelines Committees and govern
28、ed by the ASIS Commission on Standards and Guidelines. An ANSI accredited Standards Development Organization (SDO), ASIS actively participates in the International Organization for Standardization. The Mission of the ASIS Standards and Guidelines Commission is to advance the practice of security man
29、agement through the development of standards and guidelines within a voluntary, nonproprietary, and consensus-based process, utilizing to the fullest extent possible the knowledge, experience, and expertise of ASIS membership, security professionals, and the global security industry. Suggestions for
30、 improvement of this document are welcome. They should be sent to ASIS International, 1625 Prince Street, Alexandria, VA 22314-2818, USA. Commission Members Charles A. Baley, Farmers Insurance Group, Inc. Jason L. Brown, Thales Australia Michael Bouchard, Sterling Global Operations, Inc. John C. Cho
31、lewa III, CPP, Mentor Associates, LLC Cynthia P. Conlon, CPP, Conlon Consulting Corporation William J. Daly, Control Risks Security Consulting Lisa DuBrock, Radian Compliance Eugene F. Ferraro, CPP, PCI, CFE, Business Controls, Inc. F. Mark Geraci, CPP, Purdue Pharma L.P., Chair Bernard D. Greenawal
32、t, CPP, Securitas Security Services USA, Inc. Robert W. Jones, Socrates Ltd Glen Kitteringham, CPP, Kitteringham Security Group, Inc. Michael E. Knoke, CPP, Express Scripts, Inc., Vice Chair Bryan Leadbetter, CPP, Bausch it is not intended to promote a uniform approach to all organizations. The desi
33、gn and implementation of quality assurance plans, procedures, and practices should take into account the particular requirements of each organization and their clients. 0.2 Respect for Human Rights and Legal Obligations PMSCs assist clients by providing deterrence and protective measures for the pro
34、tection of personnel as well as the ship and its operations in accordance with the contract. In addition to the role played by PMSCs, state forces are involved in the suppression of piracy and counter-piracy operations, including the detainment and prosecution of pirates. Armed response or use of fi
35、rearms and other weapons as a response should be avoided in preference to protective and deterrence measures, including those described in current good management practices for ships, which are applicable wherever piracy and armed assault present a threat. Appropriate protective and defensive measur
36、es by onboard PMSCs is paramount, with less-than-lethal or non-lethal options used first, and the use of firearms and other weapons or armed response being used as a measure of last resort. In providing protection, the PMSC is governed by various laws, regulations, and ethical norms associated with
37、the use of force. PMSCs should take account of the relevant and applicable international, national, coastal and flag state laws and local statutory and regulatory law, in establishing their rules for the use of force, recognizing the individuals inherent right to self-defense. Because clients and th
38、eir security teams have the obligation to comply with legal and ANSI/ASIS PSC.4-2013 xiii regulatory requirements, the provisions for rules for the use of force should be set out in the contract between the client and the PMSC, which should also specify the unambiguous rules to apply for a specific
39、transit in terms of the laws of the flag and coastal states of the ship which are relevant to the ships operations. The contract should specify that measures to assure the safety and security of the ship and those on board must be proportionate, that primary emphasis should be placed on deterrence a
40、nd if force is necessary, there should be a graduated approach. Provisions in the contract should consider: a) Compliance with applicable and relevant provisions of international law, international maritime law, and law of the sea; b) Laws and regulations of national, coastal and flag states; and c)
41、 International employment law and conventions. The ANSI/ASIS PSC.1-2012 makes reference to the Montreux Document (2008) which encapsulates relevant rules of international law and good practices for PSC operations during armed conflicts The ICoC provides principles for PSCs to abide by in regions of
42、weakened governance and disaster areas. Though the ICoC does not specifically address the maritime environment, the principles on which it rests, including respect for human rights, are applicable in the maritime environment. Therefore, clients and PMSCs have a shared responsibility to assure confor
43、mance with the principles on which the ICoC rests2. Therefore, in applying this Standard, key concepts should be considered as follows: a) Respect for human rights; b) Respect for relevant and applicable principles of international maritime law and law of the sea, as well as the relevant and applica
44、ble principles articulated in international humanitarian and human rights law; c) Respect for the applicable and relevant international, national, coastal and flag state, and local statutory and regulatory laws associated with the ship, those on board the ship, its cargo and the legitimate and appro
45、priate employment of persons; d) Measures to assure the security and safety of the ship and those on board are proportional to the level of risk; e) Non-violent and non-lethal measures should be applied first; and f) When taking steps to deter or dissuade hostile action against the ship or those on
46、board, such responses should use the minimum force necessary. This standard, used in conjunction with the ANSI/ASIS PSC.1-2012, can help PMSCs to demonstrate to clients that they can provide services that are reliable, professional, and consistent with the ICoC. Furthermore, it provides a framework
47、for PMSCs to define their operations within the maritime environment where legal requirements are complex. 2The Montreux document restates rules of international law and provides a set of good practices for States and their obligations to ensure that private military and security companies operating
48、 in circumstances of armed conflict comply with international humanitarian and human rights law. Though the Montreux document does not address the maritime environment, the good practices for contracting states, described in Part Two of the Montreux Document, should be considered as guidance by clie
49、nts in their contracting practices with PMSCs. ANSI/ASIS PSC.4-2013 xiv 0.3 Authorities, Obligations, and Responsibilities of Ship Master and Clients The shipmaster (Master) has the ultimate responsibility for the security and safety of the ship, those on board, its cargo, and command of the ship. The decisions of the Master are expected to be guided by those that possess appropriate knowledge, skills, experience, and training. Therefore, the Master has the overall authority and responsibility to make decisions with respect to the safety and security of the ship an
