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This document sets out the ICoCA Board’s analysis of PSC.1 against the ICoCA Certification Assessment Framework. This analysis has informed the Board’s view on the coherence of PSC.1 with the ICoC, and what additional information it will ask for alongside certification to PSC.1 by an accredited certification body.
The additional information required is set out in the Additional Information document. This analysis should be read in conjunction with the Additional Information document and with the Certification Concept Paper. The additional information covers the gaps recognised in this document, or are additional pieces of information that the Board on policy and practice that the Board is asking companies to share. This disclosure will assist the Board in fulfilling its mandate to seek to establish best practice within the industry, by understanding current practices and identifying areas of excellence and areas where there is scope for Board outreach to drive up standards.
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Table of Contents
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Policies and Programs3
1. Governance/Oversight Framework3
1.1 Risk Assessment Program3
1.2 Compliance Program4
1.3 Reporting Policy8
1.3.1 Incident Reporting10
1.4 Contracting Policy12
2. Personnel Management Policy12
2.1 Hiring Policy13
2.2 Performance Review Policy15
2.3 Subcontractor Hiring Policy16
2.4 Personnel Code of Conduct16
2.5 Terms and Conditions of Work17
3. Rules for the Use of Force (RUF)19
4. Management of Weapons and
Material of War19
5. Grievance Mechanism21
6. HSE Program23
7. Insurance/Liability Program25
Training Curriculum25
1. The Code27
2. Cultural Sensitivities27
3. RUF27
4. Reporting Obligations27
5. Prohibited Practices27
6. Anti-corruption28
7. Understanding of Applicable Law28
8. Weapons Training28
9. Hostile Environment Training28
10. Working with Law Enforcement29
11. Detention29
12. Apprehending Persons 29
Certification Process30
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RequirementCategory / Policies/Programs / Objective Questions / Subjective Questions / ICoCRef / PSC-1 Ref / Further information on ICoC/PSC-1 alignment1. Governance/Oversight Framework / 3, 6, 17, 44, 69
1.1 Risk Assessment Program(s)[1] / 3, 6, 17
Does the company have a program to conduct risk assessments? / 7.1
Who participates in the risk assessment program? / 7.1, 7.2.1, 7.4 / 7.2.1 identifies that there should be consultation, 7.4 identifies top management involvement
Does the program cover human rights risks? / 7.1 – 7.4
Is there a process by which risk assessments inform other policies, procedures, and operations? / 7.1 – 7.4 / The company will ensure the risks and actions to address them are reflected in its quality assurement management system (QAMS) and policy.
How does it inform policies and procedures? / -
How does it inform operations / -
If there a program to conduct impact assessments of ongoing operations? / - / A.4.1 identifies that a company should do a human rights impact assessment when developing its original risk analysis, but does not mention further risk analyses
1.2 Compliance Program
Are all applicable policies applied to Contractors and Suppliers? / 16 / 8.3 Contractors – yes see 8.3. Explicit mention of Code of Ethics and subcontractors at 9.1.2, and training at 9.3
Suppliers not explicitly covered. / Also relevant:
6.3: Contractor conformance with ICoC, Montreux Document and applicable law covered at 6.3
5.1: Contractors also possibly covered by 5.1 – “Subcontractors of outsourced processes or services are also responsible and accountable for all client, legal, regulatory, ethical, and industry obligations.
7.1: the company shall inform subcontractors “and other relevant third parties” of legal and other requirements.
7.3 Risks should be communicated to all subcontractors and supply chain partners “with the intent that these individual persons are made aware of their obligations”
5.2.3Assessing supply chain risk covered here.
A.7.1 Risk assessment should include consideration of risks around suppliers and subcontractors
Does the company have a process to consider the potential impact of UN Security Council Sanctions on contracts with governments and their agents? / 22, 57 / 7.1: Not covered explicitly but should fall within legal requirements as set out at 7.1
Does the company have a process to evaluate and prohibit the practices described in ICoC Paragraph 22? / 22 / 7.1: As above
Is the company aware of all reporting requirements? / 22, 24, 28, 63 / 9.4.1: Possibly covered by 9.4.1, reporting of incidents to relevant military or civil authorities, including reference to local language requirements.
How does the company track such requirements?
(see also Reporting 7.2)
Does the company have a process to ensure it has all licenses (if any) required for the sale of goods or services? / 25 / 7.1: Not covered explicitly but should fall within legal requirements as set out at 7.1
Does the company have an anti-corruption policy or program? / 26 / A.9.1.1 Anti-corruption should be incorporated into the company’s Code of Ethics / 9.3 Training should also cover anti-corruption
Does the ensure that the company hasall required authorizations and licenses to use and maintain weapons and ammunition, and hazardous materials? / 56, 43(b) / 9.2.5: licences not explicitly mentioned but should be covered here
How does the company track this?
Has the company ensured all vehicles are registered and licensed with relevant national authorities? / 43(b) / - / Not covered but could fall within 7.1
Are all vehicles required to be individually identifiable while on duty? / 43(b) / A.9.2.1.1 says that vehicles should have standardised markings so as to be identifiable
Are all personnel required to be individually identifiable while on duty? / 43(a) / A.9.2.1.1 says that people should wear standardised uniforms so as to be identifiable
Identifiable uniform?
Name or other individually-specific identifier?
Does the company have authorization for weapons transfers? / 57 / 9.2.5: licences not explicitly mentioned but should be covered here
Is there a policy against the prohibition of illegal weapons? / 57 / 9.2.5
Does the company have a program to ensure that the terms and conditions of work comply with all applicable labor and employment laws? / 52 / A.9.2.1
How does that program work?
1.3Reporting Policy/Program / 24,28,63
Does the reporting program require known or reasonably suspected violations of national or international crimes to be reported to the client? / 9.4 and 9.5.6: Section 9.4 covers communications and mentions clients while 9.5.6 covers incident reporting / A.9.5.9 also relevant
Does the reporting program require known or reasonably suspected violations of national or international crimes to be reported to the Competent Authority? / 9.5.6 – references “appropriate authorities” / A.9.5.9 also relevant
Does the reporting program require known or reasonably suspected violations of national or international crimes to be reported to either the country of nationality of the victim, country of nationality of the perpetrator, or country where the act took place? / 9.5.6 - references “appropriate authorities” / A.9.5.9 also relevant
Does the reporting program include each of the following: / 9.5.6 – these should all be covered by the reference to “applicable laws” in 9.5.6 / A.9.5.9 also relevant
War crimes
Crimes againsthumanity
Genocide
Torture
Enforceddisappearances
Slavery, forced or compulsory labor
Hostagetaking
Sexual or gender-based violence
Human trafficking
Worst forms of child labor
Extra-judicial, summary, or arbitrary executions
Is there a program to report violations of the Code? / 9.5.6
1.3.1 Incident Reporting / 63
Does the company require the preparation of an incident report involving reach of the following: / 9.5.4 – 9.5.6 and A9.5.9
The firing of a weapon,
Anyescalation of force,
Damage to equipment or injury to persons,
Attacks,
Criminalacts,
Traffic accidents,
Incidents involving other security forces,
Any other matters as required by the client?
Is there a process to conduct an internal inquiry regarding incidents? / 9.5.6 and A9.5.9
Does the incident report require inclusion of each of the following: / A.9.5.9
Time and location
Identity and nationality of persons involved (including address and contact details
Injuries and damages sustained
Circumstances leading up to the incident
Measures taken by the company in response
Does the policy requiring an internal inquiry also contain a requirement for a written incident report? / A.9.5.9
Is there a requirement that a copy of the incident report be provided to the client and, where required by law, to Competent Authorities? / A.9.5.9
1.4Contracting Policy / 16-20, 22,29
How does the company require Code compliance by all contractors or subcontractors? / 16,18 / - / Policy set out at 6.3 but process not set out
Is there a process to review contracts and ensure there is no conflict of the Code? / 19-20 / - / No reference to clients having to follow the ICoC
Are contracts reviewed to ensure they would not result in enabling violations of UN Security Council Sanctions? / 22 / - / No process set out but should be covered by legal requirements at 7.1
Do contracts and agreement cover Rules for the Use of Force? / 29 / 9.5.2 RUF will be specified by the client so assume this will be included in contract
Does the contractual language include: / Language in question missing.
Does the contract review program extend to contracts with all subcontractors and suppliers? / Unclear what this means – does it reference RUF or a different areas?
2. Personnel Management Policy
2.1 HiringProcess / 45, 49, 50-54
Does the process apply both to new hires and promotions to new positions? / 9.2.2 and 9.2.3, A.9.2.2 and A.9.2.3
Does the Hiring process include a vetting process? / 9.2.2 and 9.2.3, A.9.2.2 and A.9.2.3
Are personnel checked to ensure that they are qualified for the contract? / 9.2.2 and 9.2.3, A.9.2.2 and A.9.2.3
Are personnel qualified under applicable national law? / 9.2.2 and 9.2.3, A.9.2.2 and A.9.2.3
Are personnel qualified under industry standards? / 9.2.2 and 9.2.3, A.9.2.2 and A.9.2.3 (references “licensure/certification/registration verification”)
Are all personnel 18 years of age or older? / 9.2.2 and 9.2.3, A.9.2.2 and A.9.2.3
Does the company have authorization to access all personnel government and employment records? / -
Do personnel agree to participate in internal and external investigations and disciplinary procedures? / International investigation policy covered at 9.5.5, 9.5.6 and is part of the overall company policy that employees will have to agree to.
External investigations not referenced.
Does the anti-discrimination policy apply to race, color, sex, religion, social origin, social status, indigenous status, disability, or sexual orientation when hiring personnel and selecting personnel on the basis of inherent requirements of the contract? / 42 / A.9.2.1
Are personnel suitable and qualified to carry weapons? / 9.2.2 and 9.2.3, A.9.2.2 and A.9.2.3
No felonycriminal background
No dishonorabledischarge
No prior termination for activities inconsistent with the Code
No other conduct that is objectively inconsistent with carrying a weapon
2.2 Performance ReviewProcess / 45
Does the review process assess the ability of personnel to perform duties in accordance with principles of the Code? / 9.3 and A.9.3: ICoC not specifically mentioned, but this section references personnel competence. 5.1 references incorporating the ICoC into the QAMS.
Areall personnel required to meet the physical fitness standards (as determined by the contract)? / 9.3 and A.9.3: physical fitness not specifically raised, but this section references personnel competence and physical fitness assumed to fall under this.
Are all personnel required to meet the mental fitness standards (as determined by the contract)? / 9.3 and A.9.3: mental fitness not specifically raised, but this section references personnel competence and mental fitness assumed to fall under this.
Are personnel checked to ensure that they remain suitable and qualified to carry weapons? / 9.3 and A.9.3
2.3 SubcontractorHiring
Can the company provide the hiring policy for subcontractors to ensure proper vetting procedures conducted by all subcontractors? / 50 / 8.3(a)
If subcontractors cannot perform an internal hiring and vetting process, is there a policy that the signatory company will perform the hiring and review process? / 51 / -
2.4 Personnel Code of Conduct
What are the anti-harassment policies? / 65 / 9.5.3
Does the company code of conduct policy prohibit the involvement in sexual exploitation, gender-based violence or abuse and human trafficking crimes? / 38 / A.9.1.1
Does the company code of conduct policy prohibit slavery, forced or compulsory labor? / 40,43,22 / A.9.1.1
2.5 Terms and Conditions of Work
Are the terms and conditions under which all personnel perform work consistent with applicable labor and employment laws? / 52 / A.9.2.1
Do all contracts and job descriptions incorporate the Code and applicable labor law? / 52 / -
Are all terms and conditions available to personnel in writing, in a language they can understand? / 52 / Contracts yes, other terms and conditions not necessarily covered (A.9.2.1)
What are the terms and conditions of the contract in writing? / 52
Are employment records kept for all personnel during and for 7 years post-employment? / 53 / Possibly picked up by A.8.4.2
Are employment records accessible to ICoCA or a Competent Authority? / 53 / -
Is there a policy that the holding of passports and travel documents will only be required for the minimum amount of time for administrative processing? / 53,54 / A.9.2.3
Are all personnel and vehicles required to be individually identifiable? / 42 / A.9.2.1.1
3. Rules for the Use of Force / 29,30-32
Does the company haveguidance or general policies covering Rules for the Use of Force? / 29 / 9.5.2
Is the guidance consistent with applicable law? / 9.5.2
Is the guidance consistent with the Code? / 30-32 / -
Does the guidance incorporate concepts of necessity, proportionality and appropriateness? / 30 / 9.5.2
Does the policy include the include stipulations for the use of firearms only in self-defense or defense of others with the threat of death or serious injury is imminent? / 31 / 9.5.2: Use of lethal force only allowed in these circumstances, use of firearms not expressly mentioned.
4. Management of Weapons and Materials of War / 56-62
Do you have policies that cover the possession, use and storage of weapons, ammunition, and materials of war? / 9.2.5
Do you have all required authorizations for possession and use of weapons, ammunition, and material of war? / 56,60 / 9.2.5
Do you ensure there is no unauthorized or altered, illegal weapons or material of war? / 57,61 / 9.2.5 references “identification and accounting of all ammunition and weapons”
Do you ensure all weapons and materials of war transfers and transactions in are in accordance with applicable law and UN Security Council laws and sanctions? / 57,61 / 9.2.5 refers to “international legal and regulatory requirements”
Weapons and material of war policies must provide for: / 58,62 / A.9.5.2
Securedstorage
Chain of custody
Controls over issue
Records on issuance of weapons
ID and accounting for ammunition
Verified and properdisposal
Training for personnel / 59
How are your weapons and materials of war management policies being implemented? / 9.3
5. GrievanceMechanism / 66
Does the program handle claims of violations of Code by personnel and third parties? / 9.5.7 / The Association may wish to ask for confirmation that this policy applies to reports of contravention of the ICoC, as well as of the PSC.1 standard.
Does the procedure allow for reporting of improper or illegal conduct, both internally and to Competent Authorities? / 9.5.7
What are the processes and controls to ensure the mechanism fair and accessible? / - / This is a request for policy information therefore won’t be in the reports attached to certification so should be asked for separately.
Does the procedure provide effective remedies, including recommendations for prevention of recurrence? / 9.5.7 (e)
Is the process published on a publically accessible website? / - / A.9.4.2 and A.9.4.3 cover public communication but do not specifically mention websites.
Does the procedure allow for investigations, and are the investigations prompt, impartial, and taken with consideration to confidentiality? / 9.5.7
Are records kept of allegations, findings and disciplinary measures? / A.9.5.10 / Includes maintaining of records but you may wish to ask to see the policy to ensure it includes holding records for a length of time.
Are records available to Competent Authorities (except as provided by applicable law)? / 9.5.7 / This includes communication to Competent Authorities but you may wish to ask for the policy to see more information on whether this covers all records or only those the company deems necessary to share.
Is there cooperation with offices conducting investigations? / 9.5.7 (c)(i) / PSC.1 refers to cooperation with “official external investigation mechanisms”
Does the procedure prevent impeding of witnesses, testimony, or investigations to grievances? / A.9.5.10
Does the process provide for discipline, including termination? / 9.5.7 (e) / Termination not explicitly mentioned, rather “disciplinary action commeasurable with any infractions”
Does the process provide protection for whistleblowers? / 9.4.3, 9.4.4 / The Association may wish to ask for confirmation that this policy applies to reports of contravention of the ICoC, as well as of the PSC.1 standard.
6. HSE Program / 64
Does the program endeavor to provide a healthy and safe working environment? / 9.5.3
Is the program reasonably tailored to achieve this objective?
Does the program provide precautions to protect staff in high-risk or life threatening operations? / 9.5.3, A.9.5.7
Does the program assess and/or address each of the following:
risk of injury to personnel / 9.5.3
risk of injury to local populations / 9.5.3
Hostile Environmentthreats / 9.5.3
AppropriatePPE / 9.5.3
Appropriateweapons and ammunition / 9.5.3
Medical support / 9.5.3
Pychologicalhealth / 9.5.3
Detterence of workplace violence / 9.5.3
Misconduct / 9.5.3
Alochol or drug abuse / 9.5.3
7. Insurance /LiabilityCoverage / 69
Is there sufficient coverage of financial capacity to meet commercial liabilities? / 8.2, A.8.2
Training Programs and Curriculum / 55 / Note on training: A.9.3. states that “All personnel should receive training to perform their individual QAMS-related responsibilities”. Where issues highlighted below form part of the company’s management system, the certification body will check that staff are being trained appropriately in this area. In this sense all the issues below will be audited if they are part of the PSC’s management systems and policies and procedures. However, some issues are noted specifically under article A.9.3 (or other articles), and I have noted the appropriate paragraphs below where they are mentioned.
Does the training program apply to all personnel (including contractors and subcontractors)? / 16
What is the method to ensure all personnel and subcontractors are trained?
Is the training program documented?
Does the training program keep all records of attendance and results, including practical exercises?
Does the program conduct both initial and recurrent training?
How frequently is recurrent training conducted?
MandatorySubjects for Training:
1. The Code / 27,55
2. Religious, gender, and cultural issues with respect to the local population? / 4 / A.9.3 (c – third paragraph) / Listed as a possible topic for inclusion
3. Rules on the Use of Force / 29-31,59 / A.9.5.3
Legal restrictions
Proportionality
Appropriateness
Use of firearms only in self-defense and defense of others (where risk of imminent death or serious bodily injury)
4. Reporting Obligations / 24, 27, 28, 34, 37, 38, 39, 63
5. Awareness of Specific Human Rights/ Prohibited Practices / 22-23 / A.9.5.1
War Crimes / A.2.2
Crimes AgainstHumanity / A.2.2
Genocide
Torture / A.9.3 (a)
EnforcedDisappearances
Slavery, Forced or Complusory Labor / A.9.3 (c)
Worst forms of Child Labor
Hostage-taking
Gender-based Violence and Abuse / A.9.3 (b)
Human Trafficking / A.9.3 (c)
6. Anticorruption / 26 / A.9.3 (e – third paragraph) / Listed as a possible topic for inclusion
7. Applicable law
International Humanitarian Law / A.9.3
Human Rights Law / A.9.3
National Law
Criminal Law
8. Specific training for type and model of weapons carried – regular, verified, and recurrent / 59 / A.9.5.2
9. Hostile Environment Training
10. If contract covers law enforcement duties or support to national law enforcement: / 32
Laws applicable to enforcement of that state
UN Basic Principles on Use of Force and Firearms by Law Enforcement Officials
11. Ifcontract involves detention duties:
Applicable national
and international laws
Prohibition on torture and other
cruel and inhumane or
degrading treatment
12. When Apprehension is required in the course of protecting persons or property:
Whenitispermitted
How and when persons should betransmitted to Competent Authority
Rules for incidentaldetention
Applicable national and international law
Requirement and process for reporting to clients
Requirement for humanetreatment
Certification Process
Has the company clearly defined the scope of operations, including: / The scope of the PSC-1 certification will be included on the certificate
Locations
Clients
Types of Services
What was the scope of operations covered for the certification audit? / -
Was the scope of the certification audit adequate to fairly represent the scope of company operations? / -
Has the company provided a copy ofof the Certification Report including: / -
Date of the certification
Identity of the certifying body and relevant accreditation information
Period of validity of certification
Where the organization has been certified to operate
Does the certification report note areas needing improvement? / Information will be included in the certification report if requested.
What steps is the company taking to address the areas for improvement? / -
Are all documents for certification made available to the ICoCA? / -
[1] The requirement to conduct risk assessments, though not stated explicitly in the Code, can be derived both from the endorsement of the “Respect, Protect, Remedy” framework (ICoC paragraph 3) and from the commitment to operate “in accordance with relevant corporate standards of business conduct” (ICoC paragraph 6(b)).