ISO/PAS 28007:2012
(Main)Ships and marine technology — Guidelines for Private Maritime Security Companies (PMSC) providing privately contracted armed security personnel (PCASP) on board ships (and pro forma contract)
Ships and marine technology — Guidelines for Private Maritime Security Companies (PMSC) providing privately contracted armed security personnel (PCASP) on board ships (and pro forma contract)
ISO/PAS 28007:2012 gives guidelines containing additional sector-specific recommendations, which companies (organizations) who comply with ISO 28000 can implement to demonstrate that they provide Privately Contracted Armed Security Personnel (PCASP) on board ships. To claim compliance with these guidelines, all recommendations ("shoulds") should be complied with. Compliance with ISO/PAS 28007:2012 can be by first, second and third party (certification). Where certification is used, it is recommended the certificate contains the words: "This certification has been prepared using the full guidelines of ISO PAS 28007 as a Private Maritime Security Company providing Privately Contracted Armed Security Personnel".
Navires et technologie maritime — Guide destiné aux sociétés privées de sécurité maritime (PMSC) fournissant des agents de protection armés embarqués sous contrat privé (PCASP) à bord de navires (et contrat pro forma)
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PUBLICLY ISO/PAS
AVAILABLE 28007
SPECIFICATION
First edition
2012-12-15
Ships and marine technology —
Guidelines for Private Maritime
Security Companies (PMSC) providing
privately contracted armed security
personnel (PCASP) on board ships
(and pro forma contract)
Navires et technologie maritime — Guide destiné aux sociétés privées
de sécurité maritime (PMSC) fournissant des agents de protection
armés embarqués sous contrat privé (PCASP) à bord de navires (et
contrat pro forma)
Reference number
ISO/PAS 28007:2012(E)
©
ISO 2012
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ISO/PAS 28007:2012(E)
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ii © ISO 2012 – All rights reserved
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ISO/PAS 28007:2012(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Security management system elements for Private Maritime Security Companies .3
4.1 General requirements . 3
4.2 Planning . 7
4.3 Resources .11
4.4 Training and awareness .12
4.5 Communication and awareness .15
4.6 Documented information and records .16
5 Operation .17
5.1 Operational planning and control .17
5.2 Command and control of security personnel including security team, size, composition
and equipment .18
5.3 Guidance on Rules for the Use of Force (RUF) .19
5.4 Incident management and emergency response.19
5.5 Incident monitoring, reporting and investigation .20
5.6 Scene management and protection of evidence .20
5.7 Casualty management.21
5.8 Health safety environment .21
5.9 Client complaints, grievance procedures and whistleblowing .21
6 Performance evaluation .22
6.1 Monitoring, measurement analysis and evaluation .22
6.2 Internal audit .22
6.3 Management review .23
6.4 Nonconformity and corrective action .23
6.5 Continual improvement .23
Annex A (informative) BIMCO GUARDCONContract for Employment of Security Guards on Vessels
and Guidance on Rules for the Use of Force (RUF) by Privately Contracted Armed Security
Personnel in Defence of a Merchant Vessel, April 2012 .24
Bibliography .25
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ISO/PAS 28007:2012(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International
Standards adopted by the technical committees are circulated to the member bodies for voting.
Publication as an International Standard requires approval by at least 75 % of the member bodies
casting a vote.
In other circumstances, particularly when there is an urgent market requirement for such documents, a
technical committee may decide to publish other types of normative document:
— an ISO Publicly Available Specification (ISO/PAS) represents an agreement between technical
experts in an ISO working group and is accepted for publication if it is approved by more than 50 %
of the members of the parent committee casting a vote;
— an ISO Technical Specification (ISO/TS) represents an agreement between the members of a
technical committee and is accepted for publication if it is approved by 2/3 of the members of the
committee casting a vote.
An ISO/PAS or ISO/TS is reviewed after three years in order to decide whether it will be confirmed for
a further three years, revised to become an International Standard, or withdrawn. If the ISO/PAS or
ISO/TS is confirmed, it is reviewed again after a further three years, at which time it must either be
transformed into an International Standard or be withdrawn.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/PAS 28007 was prepared by Technical Committee ISO/TC 8, Ships and marine technology.
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ISO/PAS 28007:2012(E)
Introduction
ISO 28000 is the certifiable security management system for organizations which has been developed
from other quality management systems (ISO 9001 and ISO 14001) with the same management system
requirements.
In effect ISO 28000 is a risk based quality management system for the security of operations and
activities conducted by organizations. ISO 28007 sets out the guidance for applying ISO 28000 to Private
Maritime Security Companies (PMSC)
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PUBLICLY AVAILABLE SPECIFICATION ISO/PAS 28007:2012(E)
Ships and marine technology — Guidelines for Private
Maritime Security Companies (PMSC) providing privately
contracted armed security personnel (PCASP) on board
ships (and pro forma contract)
1 Scope
This Publicly Available Specification gives guidelines containing additional sector-specific
recommendations, which companies (organizations) who comply with ISO 28000 can implement to
demonstrate that they provide Privately Contracted Armed Security Personnel (PCASP) on board ships.
To claim compliance with these guidelines, all recommendations (“shoulds”) should be complied with.
Compliance with this Publicly Available Specification can be by first, second and third party (certification).
Where certification is used, it is recommended the certificate contains the words: “This certification
has been prepared using the full guidelines of ISO PAS 28007 as a Private Maritime Security Company
providing Privately Contracted Armed Security Personnel”.
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
ISO 28000, Specification for security management systems for the supply chain
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
3.1
Private Maritime Security Company
PMSC
organization which provides security personnel, either armed or unarmed or both, on board for
protection against piracy
Note 1 to entry: Henceforth throughout this document, the word “organization” refers to the PMSC.
3.2
Privately Contracted Armed Security Personnel
PCASP
armed employee or subcontractor of the PMSC
3.3
area of high risk of piracy
area identified as having an increased likelihood of piracy
3.4
guidance on the Rules for the Use of Force (RuF)
clear policy drawn up by the PMSC for each individual transit operation which sets out the circumstances
in which lethal force in the delivery of maritime security services may be used in taking account of
international law and the law of the flag state
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ISO/PAS 28007:2012(E)
3.5
International Code of Conduct for Private Security Service Providers (ICoC) (9 November 2010)
code that identifies a set of principles and processes for private security providers related to support for
the rule of law and respect for human rights in the context of self-regulation by private security companies
Note 1 to entry: IMO has stated that ICoC is not directly applicable to the peculiarities of deploying armed guards
at sea to protect against piracy since it is written in the context of self-regulation for land companies only.
3.6
interested party
person or organization that can affect, be affected by or perceive themselves to be affected by a
decision or activity
Note 1 to entry: This denotes but is not limited to clients (ship-owners, charterers), the shipping community
including seafarers, flag, coastal and port states, international organizations, P and I clubs and insurers, and
security training companies, certification bodies.
3.7
maritime security services
services which range from intelligence and threat assessment to ship hardening and the guarding and
protection of people and property (whether armed or unarmed) or any activity for which the Company
Personnel may be required to carry or operate a firearm in the performance of their duties
3.8
Montreux document
document which reaffirms the obligations on states to ensure that private military and security
companies operating in armed conflicts comply with international humanitarian and human rights law
Note 1 to entry: IMO has similarly stated that because Montreux applies in situations of armed conflict, it is not
relevant to the operations of piracy and armed robbery at sea.
3.9
personnel
persons working for a PMSC whether as a full time or part time employee or under a contract, including
its staff, managers and directors
3.10
risk assessment
overall process of risk identification, risk analysis and risk evaluation
[SOURCE: ISO Guide 73, definition 3.4.1]
3.11
firearms
portable barrelled weapon from which projectile(s) can be discharged by an explosion from the confined
burning of a propellant and the associated ammunition, related ancillaries, consumables, spare parts
and maintenance equipment used by security personnel at sea
3.12
security
process to pre-empt and withstand intentional, unauthorised act(s) designed to cause harm, damage
or disruption
3.13
home state
state of nationality of a PMSC, i.e. where a PMSC is domiciled, registered or incorporated
3.14
coastal state
state of nationality of the area of transit within coastal waters, including nationality of ports visited
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ISO/PAS 28007:2012(E)
3.15
security management objective
specific outcome or achievement required of security in order to meet the security management policy
3.16
security management policy
overall intentions and direction of an organization, related to the security and the framework for
the control of security-related processes and activities that are derived from and consistent with the
organization’s policy and legal and regulatory requirements
3.17
security related equipment
protective and communication equipment used by security personnel at sea
3.18
supernumerary
status of PCASP contracted by PSMCs at sea that are neither regular crew nor passengers, are directed
by a team leader and are under the overall authority of the Master of the ship
Note 1 to entry: Supernumeraries should be declared as such on a crew list.
3.19
team leader
designated leader of the personnel contracted to provide security services aboard the ship
3.20
threat assessment
assessment by the client, by the PMSC or by international experts and organizations on the potential
risks from piracy or other dangers to a specific transit or to operations more generally
3.21
top management
person or group of people who direct and control an organization at the highest level
4 Security management system elements for Private Maritime Security Companies
4.1 General requirements
4.1.1 Understanding the PMSC and its context
The organization should determine and document relevant external and internal factors. These include
the international and national legal and regulatory environment including licensing and export/import
requirements, the political, the natural and physical environment, the role, perceptions and risk
tolerance of the client and other interested parties as well as key international developments and trends
in the home state, flag and coastal states and areas of operation. The organization should also evaluate
and document elements that might impact on its management of risk including its own organization and
lines of authority for operations, its capabilities in delivering objectives and policies, and the contribution
of partners and subcontractors. The evaluation should include the particular circumstances of each
operation or transit and the attendant risk factors for the organization.
The organization should also incorporate and take notice and actions as necessary on the significant
elements in the risk analysis of the ship-owner which has prompted consideration of the use of PCASP,
and the legal requirements of the flag state and the need for prior approval to deploy PCASP. The
organization should determine how this applies to its planning needs and expectations and that it is
reflected in its own risk assessment. The organization should demonstrate its understanding of the
interaction of these elements within its context.
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ISO/PAS 28007:2012(E)
4.1.2 Understanding the needs and expectations of interested parties
The organization should identify and maintain a register of the interested parties that are relevant to
the organizations’ operations and the related legal and regulatory requirements, taking account of the
perceptions, values, needs, interests and risk tolerance of the interested parties.
It is important for the PMSC to understand that before contracting for their services, a ship-owner will
have carried out a “risk assessment”. The PMSC should then determine how this applies to them and
demonstrate how it impacts on needs and expectations.
The organization should consider risk criteria that may impact on interested parties as follows:
a) the overall risk policy of the organization, and of the client, and their risk tolerance;
b) the inherent uncertainty of operating at sea in an area with high risk of piracy;
c) the nature of the likely threats and consequences of an incident on its operations, reputation
and business;
d) the impact of an incident; and
e) the impact of the combination of a number of risks.
4.1.3 Determining the scope of the security management system
The organization should determine the boundaries and applicability of the security management system
to establish its scope.
The scope should be available as documented information.
In addition to the security management systems requirements specified in ISO 28000, the organization
should determine the scope of the security management system, including coverage of any subordinate
bodies, regional bodies or subcontracted entities.
4.1.4 Security management system
The organization should establish, implement, maintain and continually improve a risk based security
management system.
4.1.5 Leadership and commitment
Top management should demonstrate leadership and commitment with respect to the security
management system by:
a) ensuring that the security policy and security objectives are established and are compatible with
the strategic direction of the organization;
b) ensuring the integration of the security management system requirements into the organization’s
business processes;
c) providing sufficient resources to deliver, implement, review and continually improve the security
management system;
d) communicating the importance of effective security management and of conforming to the security
management system requirements;
e) compliance with legal and regulatory requirements and other requirements to which the
organization subscribes;
f) ensuring that the security management system achieves its intended outcome(s);
g) directing and supporting persons to contribute to the effectiveness of the security management system;
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ISO/PAS 28007:2012(E)
h) promoting continual improvement;
i) supporting other relevant management roles to demonstrate their leadership as it applies to their
areas of responsibility.
NOTE Reference to “business” in this Publicly Available Specification should be interpreted broadly to mean
those activities that are core to the purposes of the organization’s existence.
4.1.6 Competence
Top management should demonstrate and document the skills and experience, and professional
capability to provide the leadership and play their roles in oversight of security operations at sea and
specifically the protection of persons aboard the ship against unlawful attack, using only that force
which is strictly necessary, proportionate and reasonable. The organization should:
a) determine the necessary competence on the basis of qualifications, training and relevant and
appropriate experience of person(s) doing work under its control that affects its security performance;
b) have established and documented procedures as regards leadership, chain of authority, change in
command in the event of illness or incapacity of a key operational figure including the team leader
and as regards life saving;
c) where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness
of the actions taken;
d) have established procedures to develop guidance for the use of force based on the consideration of
several scenarios and providing a graduated response plan;
e) have a documented, robust and auditable health, safety and environmental policy;
f) have written testimonials from previous clients relating to the organization’s delivery of its security
performance at sea and/or in other relevant circumstances, where the company has a history of
related service delivery;
g) have a process for post incident actions to support state authority investigations/prosecutions
should a formal investigation be required and;
h) retain appropriate documented information as evidence of competence.
4.1.7 Organizational roles, responsibilities and authorities
Roles, responsibilities and authority in the organization should be established and documented from
top management to command and control of the PCASP, with a pre- established progression in lines of
authority taking account of any possible absence or incapacity.
In providing maritime security, for personnel and assets as detailed in a contract, such as in Annex A or
similar, such roles for the organization may include:
a) risk assessment and security advice for the client as to the most effective deterrent, whether armed
personnel, ship hardening and/or technology or a combination of measures, whether in general or
for a specific transit;
b) an intelligence assessment as to the evolving situation in the proposed area of operations;
c) observation and monitoring of activity in the operating area, including advice to the Master on
routeing in the light of an evolving threatening situation;
d) deployment of PCASP;
e) responsibility for the embarkation, inventory, and secure storage of firearms and ammunition
associated with the deployment of a PCASP;
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ISO/PAS 28007:2012(E)
f) security advice to the Master and under his authority, training of (non PCASP) personnel aboard in
emergency procedures response to a threat, including recourse to a citadel;
g) first aid and casualty care and help with evacuation;
h) preservation of evidence and protecting a crime scene as far as practicable;
i) supporting the Master in reports to international liaison and flag state authorities;
j) supporting the master in reports to the client;
k) collation of post incident reports and the response made as a contribution to lessons learned;
l) robust arrangements for the provision of visas, travel documents and security identity
documentation, as well as any necessary licences required.
All roles carried out by the organization and its PCASP should be as defined in the relevant documentation.
4.1.8 Culture and ethics
The organization should:
a) have an accessible, written Code of Business Ethics and Code of Conduct;
b) be able to demonstrate that personnel are conversant with its ethical policies, procedures and plans
and that these are regularly reviewed and updated.
4.1.9 Structure of the organization
The organization should have a clearly defined management structure showing control and accountability
at each level of the operation which should:
a) define and document ownership and a place of registration of the organization;
b) identify and document top management and their past history and relevant experience;
c) define and document that the organization is registered as a legal entity or part of a legal entity, and
where appropriate, the relationship between the organization and other parts of that same legal entity;
d) define and document any subordinate bodies, regional offices, joint venture partners and their
places of incorporation and relationship to the overall management structure; and
e) define and document any operational bases, logistics or storage facilities used in support of the operations
of the organization and the jurisdiction that applies and/or whether they are on the high seas.
4.1.10 Financial stability of the organization
The organization should be able to demonstrate its financial stability, debt profile, any unserved criminal
or fraud charges by its top management or other history that might impact on its operations and on
interested parties.
The organization should be able to document its financial stability by way of:
a) latest financial accounts supplemented with management accounts;
b) banker’s references or similar national equivalents as required;
c) company structure and place of registration;
d) company ownership.
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ISO/PAS 28007:2012(E)
4.1.11 Outsourcing and subcontracting
The organization should have a clearly defined and documented process to explain the circumstances
under which it outsources activities, functions or operations and its supply chain. The organization
should take responsibility for activities outsourced to another entity and have a legal enforceable
agreement covering such arrangements including:
a) commitment by a subcontracted entity to abide by the same obligations, legal, regulatory and ethical
as the organizations, including those under this Publicy Available Specification;
b) confidentiality and conflict of interest agreements;
c) the identification and documentation of its logistics chain and the risk potential from that logistics
chain including arrangements for the licensing and export/import of firearms and security material.
4.1.12 Insurance
The organization should demonstrate that it has sufficient insurance to cover risks and associated
liabilities arising from its operations and activities, consistent with contractual requirements. An
example is shown in Annex A. When outsourcing or subcontracting services, activities or functions,
or operations, the organization should ensure the subcontracted or outsourced entity has appropriate
insurance cover for those activities.
The organization should provide documentary evidence that they consider and provide insurance or
equivalent as appropriate to the contract, for the duration of the contract in the proposed areas of
operations, as follows:
a) general liability insurance for third party claims of bodily injury or property damage;
b) professional liability insurance for negligent acts arising from professional loss, bodily injury or
property damage;
c) employers liability (including maritime employers liability). The organization should establish with
the client and underwriters the need to review all provisions in their own property and liability
insurance policies to cover the deployment of a PCASP and firearms aboard;
d) workers compensation as applicable;
e) personal accident insurance (tropical disease, accidental death, temporary or permanent disability)
with medical and evacuation expenses; and
f) any other coverage as indicated by the risk assessment.
As firearms and other security related equipment are to be part of the contracted plan, the organization
should ensure their personnel to carry and use firearms on such voyages for accident, injury and damage
arising from the use of firearms, and for liability that might arise from the carriage and/or intentional
use or negligent misuse of firearms.
The organization may also consider other liabilities.
4.2 Planning
4.2.1 Security management policy
The organization should operate a security mana
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