Port Security in EU: a Systemic ApproachGuide Words: Port security, homeland security, border security, ISPS, regulations, directives.Abstract:In responseto the tragic events of September 112001 and the growing concern for thesecurity of ships and ports, the International Maritime Organization set up new security regulationsimplementedintheInternational ShipandPortfacilitySecuritycodeasanamendmenttotheSafetyof Life at Sea convention on minimum security arrangements for ships and port facilities. It has beentransposed to the Community legal framework by the Regulation 725/2004, successively, extendedintothewholeportarea bytheDirective2005/65/CE.Ports constitutecrucial intermodal nodes inthefreightand passengertransportnetworkas well as important bordercontrol points.Theirsecurityistherefore of paramount importance not only because of their critical transport functions but alsobecause of their specific role, as control points, in the regional, national and European security. Indeed,port security is a cornerstone for the implementation of the new international maritime transportsecurity regime in what regards the protection of port users and public as well as the protection of themaritime vessels. The aim of the present paper is to analyses the problem, highlight the issues faced ina systematic way and provide a systemic framework towards a better port security without penalizingexcessively the trade or the port related activities.To this end::A basic taxonomy concerning ports, port facilities and security is established,. The main requirements from the EU and international regulations are highlighted..The port facility security, basic functional block for the port security, is analyzed and its mainparametersarederived..The current situation of EU port facilities is highlighted and some conclusions on the short termpriorities and the way ahead are drawn.I.INTRODUCTIONThe December 2002 amendments by IMO (International Maritime Organization) of the SOLAS(Safety of Life at Sea) convention and the ISPS (International Ship and Port facility Security) codeconstitute the new international security regime for ships, ports and port facilities, transposed to theCommunity legal framework by the Regulation 725/2004, successively, extended into the whole portarea by theDirective2005/65/CE.The aim of port security is to prevent any intentional unlawful acts that can threaten citizenssafety (workers, passengers or crew) and affect economy (e.g., property damage, loss of revenue, tradedisruption).It aims at a reasonable protection of the EU citizens interacting without penalizing
Port Security in EU: a Systemic Approach Guide Words：Port security, homeland security, border security, ISPS, regulations, directives. Abstract：In response to the tragic events of September 11 2001 and the growing concern for the security of ships and ports, the International Maritime Organization set up new security regulations implemented in the International Ship and Port facility Security code as an amendment to the Safety of Life at Sea convention on minimum security arrangements for ships and port facilities. It has been transposed to the Community legal framework by the Regulation 725/2004, successively, extended into the whole port area by the Directive2005/65/CE. Ports constitute crucial intermodal nodes in the freight and passenger transport network as well as important border control points. Their security is therefore of paramount importance not only because of their critical transport functions but also because of their specific role, as control points, in the regional, national and European security. Indeed, port security is a cornerstone for the implementation of the new international maritime transport security regime in what regards the protection of port users and public as well as the protection of the maritime vessels. The aim of the present paper is to analyses the problem, highlight the issues faced in a systematic way and provide a systemic framework towards a better port security without penalizing excessively the trade or the port related activities. To this end: • A basic taxonomy concerning ports, port facilities and security is established, • The main requirements from the EU and international regulations are highlighted. • The port facility security, basic functional block for the port security, is analyzed and its main parameters are derived. • The current situation of EU port facilities is highlighted and some conclusions on the short term priorities and the way ahead are drawn. I. INTRODUCTION The December 2002 amendments by IMO (International Maritime Organization) of the SOLAS (Safety of Life at Sea) convention and the ISPS (International Ship and Port facility Security) code constitute the new international security regime for ships, ports and port facilities, transposed to the Community legal framework by the Regulation 725/2004, successively, extended into the whole port area by the Directive 2005/65/CE. The aim of port security is to prevent any intentional unlawful acts that can threaten citizens’ safety (workers, passengers or crew) and affect economy (e.g., property damage, loss of revenue, trade disruption). It aims at a reasonable protection of the EU citizens interacting without penalizing
excessively the trade or generating competition between the EU ports. In order to achieve thisambitious goal, the European Commission services, themember state national and port authorities aswell as the private operators have undertaken a considerable effort for the efficient implementation ofthe above mentioned regulations and their eventual complement through minimum standards.guidelinesorbestpractices.Ports are extremely varied (in terms of functions, geography,accessibility,location etc.)involving a multitude of actors (passengers, operators, authorities, crews, port workers and public) anda complex context of large installations, facilities and vessels. Ports are critical nodes in highlyspecialized complex economic inter-modal subsystems that move people, goods and cargo around theworld but, in parallel, are important border control points. Ports are also shelter for maritime vesselsof allkinds and, in many cases,recreational areasfor large populations.Acomprehensive port securityframework should consider all these aspects; it should integrate with the transport chain security, thesecurity at corporate local, regional and national level, extending well ashore and quite far out to thesea.The aim of the present report is to highlight in a systematic way the current issues related to thesecurity of EU ports and give an insight as to the technologies that are best suited to secure EU ports,increasing rather than compromising their efficiency. This report is based on the work undertaken bythe JRC in direct support of DG TREN in the frame of TAPS and TAPS-2 studies on the technicalaspects of port facility security and the port area and sea-side security,including the results from asurvey on the security equipment and infrastructure at the Member States'port facilities.IIL.DEFDINITIONS&CONCEPTSA.Ports&PortFacilitiesPorts are very complex and diverse entities and can be classified according to numerousparameters (freight type, importance, location, land & sea access, administration etc.).However, intheir extreme diversity, ports have some fundamentally common functional characteristics. Their mainfunction is to move freight (and passengers) across the sea to land interface. Thus ports can be seen asintermodal points of convergence between two domains: the sea and the land. A port is a maritime butalso a land terminal, where inland traffic originates or ends. Besides being intermodal nodes, portshave a second fundamental function: that of servicing the maritime vessels (ie. provide a refuge,provide supplies, servicing and maintenance, receive the ship wastes, etc.). In most cases, these twofunctionalities co-exist.Where the intermodal functionality prevails then we speak about commercialports, classified according to the nature of cargo / passengers handled (like container, cruise, ferry,petrochemical, gas, bulk). Otherwise, we speak about servicing ports, classified according to theprevailing service offered (like marinas, yards, fishing ports, naval etc.)
excessively the trade or generating competition between the EU ports. In order to achieve this ambitious goal, the European Commission services, the member state national and port authorities as well as the private operators have undertaken a considerable effort for the efficient implementation of the above mentioned regulations and their eventual complement through minimum standards, guidelines or best practices. Ports are extremely varied (in terms of functions, geography, accessibility, location etc.), involving a multitude of actors (passengers, operators, authorities, crews, port workers and public) and a complex context of large installations, facilities and vessels. Ports are critical nodes in highly specialized complex economic inter-modal subsystems that move people, goods and cargo around the world but, in parallel, are important border control points. Ports are also shelter for maritime vessels of all kinds and, in many cases, recreational areas for large populations. A comprehensive port security framework should consider all these aspects; it should integrate with the transport chain security, the security at corporate local, regional and national level, extending well ashore and quite far out to the sea. The aim of the present report is to highlight in a systematic way the current issues related to the security of EU ports and give an insight as to the technologies that are best suited to secure EU ports, increasing rather than compromising their efficiency. This report is based on the work undertaken by the JRC in direct support of DG TREN in the frame of TAPS and TAPS-2 studies on the technical aspects of port facility security and the port area and sea-side security, including the results from a survey on the security equipment and infrastructure at the Member States’ port facilities. II. DEFDINITIONS & CONCEPTS A. Ports & Port Facilities Ports are very complex and diverse entities and can be classified according to numerous parameters (freight type, importance, location, land & sea access, administration etc.). However, in their extreme diversity, ports have some fundamentally common functional characteristics. Their main function is to move freight (and passengers) across the sea to land interface. Thus ports can be seen as intermodal points of convergence between two domains: the sea and the land. A port is a maritime but also a land terminal, where inland traffic originates or ends. Besides being intermodal nodes, ports have a second fundamental function: that of servicing the maritime vessels (i.e. provide a refuge, provide supplies, servicing and maintenance, receive the ship wastes, etc.). In most cases, these two functionalities co-exist. Where the intermodal functionality prevails then we speak about commercial ports, classified according to the nature of cargo / passengers handled (like container, cruise, ferry, petrochemical, gas, bulk). Otherwise, we speak about servicing ports, classified according to the prevailing service offered (like marinas, yards, fishing ports, naval etc.)
Commercial PortShip servicingTrans-shipmentSeaLandWasteSupplydomaindomainRepair&CrewInlandRallmaintenancewatersPipeRoadlinesVesselapproachLoading&AdministrationunloadingMooringInfrastructureLogisticsSupportLoading&Storage&unloadingwarehousingoperationsVesselleavingFig.1Functional breakdown ofageneric commercial portBeing transport network convergence nodes, commercial ports also constitute,de-facto, importantborder control points in the flux of people and cargo. Ports, due to their nature and their extent, alsoconstitute borders that, much like land borders, require surveillance so that the flux of persons orgoods is channeled exclusively through the designated accesses (i.e. terminals). Ports, besides theabove cited functions, have a range of secondary, yet important functions related to their host cities,thelocal andthewidercommunities.They canbebroadlyclassifiedasof private(likeprofessional orindustrial activities, property etc.) or of public nature (like leisure, transport, restaurants, sports). Upuntil the September 11 2001 events, security has not been among the major criteria or constraints inthe development of any of the port subsystems, which have been driven mainly by economicefficiency. Building port security retroactively is not a simple matter at all as it requires systemicintervention in all systems within and around the port, taking carefully into account all the abovestated functionalities.Port facilities (or terminals) are the elementary blocks, starting point on which port securitymeasures are built. It is important to distinguish between port facilities and ports: Port facility: alocation where the ship/port interface takes place; this includes areas such as anchorages, awaiting
Fig. 1 Functional breakdown of a generic commercial port Being transport network convergence nodes, commercial ports also constitute, de-facto, important border control points in the flux of people and cargo. Ports, due to their nature and their extent, also constitute borders that, much like land borders, require surveillance so that the flux of persons or goods is channeled exclusively through the designated accesses (i.e. terminals). Ports, besides the above cited functions, have a range of secondary, yet important functions related to their host cities, the local and the wider communities. They can be broadly classified as of private (like professional or industrial activities, property etc.) or of public nature (like leisure, transport, restaurants, sports). Up until the September 11 2001 events, security has not been among the major criteria or constraints in the development of any of the port subsystems, which have been driven mainly by economic efficiency. Building port security retroactively is not a simple matter at all as it requires systemic intervention in all systems within and around the port, taking carefully into account all the above stated functionalities. Port facilities (or terminals) are the elementary blocks, starting point on which port security measures are built. It is important to distinguish between port facilities and ports: Port facility: a location where the ship/port interface takes place; this includes areas such as anchorages, awaiting
berths and approaches from seaward, as appropriate, [Regulation (EC) No 725/2004];Port: a specified area of land and water, with boundaries defined by the Member State in whichthe port is situated, containing works and equipment designed to facilitate commercial maritimetransport operations,[Directive 2005/65/EC]Hence, the term port will indicate the area encompassing a number of port facilities plus otherpublic or private installations, infrastructure, spaces, sea access etc.The term port facility, unlessotherwise stated, will indicate a commercial port facility i.e. one of the following terminal types:.Containerterminals. Cruise terminals, servicing passengers· RO-RO3ferry terminals, servicing passengers, commuters and vehiclesLiquid bulk terminals, usually handling petrochemicals.Gas terminals, usually handling LNG or LPG4. Dry bulk terminals, handling grain, coal, metals etc.·Multi-modal terminalsB.The notions of Safety&SecurityThere is considerable confusion as to the meaning and sense of the words safety and securityespecially as these notions are quite close to each other and they are used in a highly varied context. Inmany languages there only exists one word for both terms. Usually, security is perceived as ensuringsafety against intentional threats (crime, terrorism, external threat etc.) while safety encompasses allnon-intentional threats/hazards. Hereon, the following definitions will be used: Safety: the state ofbeing free of risk or danger (natural or man-made, accidental or intentional). When used as anattribute,it encompasses all measures, actions or systems aiming at ensuring the state of safetySecurity: the set of means / actions through which safety is ensured, in particular against intentionalthreats. It encompasses all measures, actions or systems aiming at preventing intentional threats fromcompromising safety
berths and approaches from seaward, as appropriate, [Regulation (EC) No 725/2004]; Port: a specified area of land and water, with boundaries defined by the Member State in which the port is situated, containing works and equipment designed to facilitate commercial maritime transport operations, [Directive 2005/65/EC] Hence, the term port will indicate the area encompassing a number of port facilities plus other public or private installations, infrastructure, spaces, sea access etc. The term port facility, unless otherwise stated, will indicate a commercial port facility i.e. one of the following terminal types: • Container terminals • Cruise terminals, servicing passengers • RO-RO3ferry terminals, servicing passengers, commuters and vehicles • Liquid bulk terminals, usually handling petrochemicals • Gas terminals, usually handling LNG or LPG4 • Dry bulk terminals, handling grain, coal, metals etc. • Multi-modal terminals B. The notions of Safety &Security There is considerable confusion as to the meaning and sense of the words safety and security, especially as these notions are quite close to each other and they are used in a highly varied context. In many languages there only exists one word for both terms. Usually, security is perceived as ensuring safety against intentional threats (crime, terrorism, external threat etc.) while safety encompasses all non-intentional threats/hazards. Hereon, the following definitions will be used: Safety: the state of being free of risk or danger (natural or man-made, accidental or intentional). When used as an attribute, it encompasses all measures, actions or systems aiming at ensuring the state of safety. Security: the set of means / actions through which safety is ensured, in particular against intentional threats. It encompasses all measures, actions or systems aiming at preventing intentional threats from compromising safety
NaturalIndustrialhazardhazardWeaponsInfrastructureMediaEnvironmentHumanetcerrormeansWeaponsHealthEnvironmerInfrastructureMediaLifeCivil rightsEnvironmentHumanetcintentionCitizenSecuritythreatSecuritythreatSecurityincidentSafetyproblemFig.2Citizencenterriskmodel:citizensperceiveasthreatAnything that risks compromising any of their values. Manmade threats of nature are securitythreats. Any person perceives as threat anything that can compromise one or more of his personalvalues.Aprioritized set of common values across a society constitutes a social scale ofvalues,usuallycoded in legislation or embedded in collective practices, consciousness, habits etc. Safety / security ofthe citizenreferto threats/hazardsagainst one ormore items of a social scaleof values.Securitythreatsimplytheexistenceofoneormorepersonswhointendtocompromiseoneormoreaspectsofthe citizenssafety, possibly using certain means (like weapons, infrastructure, the media, theenvironment, specialized knowledge/ability etc.).The intending human actor plus the necessarymeansfor the execution of the threat constitute the security threat.Security aims at preventing (orminimizing the probability) that a security threat materializes into a security incident. Once a securityincident has happened it becomes a safety concern.Consequently,any actions or measures dealingwith the consequences of a security incident (i.e. crisis management, mitigation etc.) should not beclassified under the term security. Strictly speaking, security should comprise only work aiming atidentifying potential threats and preventing them from materializing.These notions are depictedgraphically in Figure 1 above.It is very important to consider also the dynamics of security: a security system can be seen as thecontrol function of a system trying to minimize the effects of a security threat (perturbation),following the simple dynamic control model depicted in Figure 3. In such a model, the system's
Fig. 2 Citizen center risk model: citizens perceive as threat Anything that risks compromising any of their values. Manmade threats of nature are security threats. Any person perceives as threat anything that can compromise one or more of his personal values. A prioritized set of common values across a society constitutes a social scale of values, usually coded in legislation or embedded in collective practices, consciousness, habits etc. Safety / security of the citizen refer to threats / hazards against one or more items of a social scale of values. Security threats imply the existence of one or more persons who intend to compromise one or more aspects of the citizens’ safety, possibly using certain means (like weapons, infrastructure, the media, the environment, specialized knowledge/ability etc.). The intending human actor plus the necessary means for the execution of the threat constitute the security threat. Security aims at preventing (or minimizing the probability) that a security threat materializes into a security incident. Once a security incident has happened it becomes a safety concern. Consequently, any actions or measures dealing with the consequences of a security incident (i.e. crisis management, mitigation etc.) should not be classified under the term security. Strictly speaking, security should comprise only work aiming at identifying potential threats and preventing them from materializing. These notions are depicted graphically in Figure 1 above. It is very important to consider also the dynamics of security: a security system can be seen as the control function of a system trying to minimize the effects of a security threat (perturbation), following the simple dynamic control model depicted in Figure 3. In such a model, the system’s