Port Security Management Second Edition KENNETH CHRISTOPHER CRC Press Taylor & Francis Group Boca Raton London New York CRC Press is an imprint of the Taylor & Francis Group, an informa business
Preface Acknowledgments Author xv xvii xix PART I HISTORY AND ORGANIZATION OF PORT AND MARITIME SECURITY 1 Introduction to Port Security Management 3 1.1 Global Transportation System: The Context for Port Security 3 1.2 A Renewed Security Concern about Threats to Shipping and Commerce 5 1.3 Public Policy and Port Responsiveness to Commerce 10 1.4 Economic Dependence on Maritime Transportation 14 1.5 A Renewed Emphasis on Securing Ships and Ports 17 1.6 A Need for Partnerships between Government and Business in Managing Port Security 20 1.7 A Strategy for Port Security Management 21 1.8 Summary 21 References 23 2 Maritime and Port Security: A Manager's Perspective 27 2.1 Understanding the Port Environment 27 2.2 Security Management within the Context of History 31 2.3 Maritime Sector and Security 34 2.3.1 Freedom of the Seas 35 2.3.2 International Convention for the Safety of Life at Sea 36 vii
VIII 2.3.3 United Nations Convention on Law of the Sea 37 2.3.4 International Ship and Port Facility Security Code 39 2.3.5 United States Maritime Transportation Security Act of 2002 41 2.3.6 United States Security and Accountability lor Every Port Act of 2006 41 2.4 9/11: A Paradigm Shift toward Enhanced Security in the Maritime Domain 42 2.5 Summary 44 References 46 3 Security Challenges Facing Port Operations 49 3.1 Central Challenge: Security Management as a Component of Organizational Improvement 49 3.2 Port Organization as an Open System 51 3.2.1 Importation of Energy 51 3.2.2 Throughput 52 3.2.3 Output 53 3.2.4 Systems as Cycles of Events 53 3.2.5 Negative Entropy 54 3.2.6 Information Input, Negative Feedback, and the Coding Process 55 3.2.7 Steady State and Dynamic Homeostasis 55 3.2.8 Differentiation 56 3.2.9 Integration and Coordination 56 3.2.10 Equifmality 57 3.3 Specific Security Challenges in the Port Environment 58 3.3.1 Terrorism 58 3.3.2 Weapons of Mass Destruction 59 3.3.3 Hazardous Materials 63 3.3.4 Internal Criminal Conspiracies 64 3.3.5 Piracy 67 3.3.6 Cargo Theft 67 3.3.7 Vandalism 67 3.3.8 Stowaways 67 3.3.9 Poorly Trained Security Personnel 68 3.3.10 Crimes against Passengers and Crew 68 3.3.11 General Civil Unrest 68 3.3.12 Workplace Violence 68 3.3.13 Economic Espionage 69 3.3.14 Commercial Conspiracies 69 3.4 Summary 70 References 71
PART II RISK MANAGEMENT, PLANNING, AND COORDINATION OF PORT SECURITY 4 Port Security as a Risk Management Activity 75 4.1 Risk Management: A Foundation for Rational Security 75 4.1.1 Convergence 77 4.2 Port Facility Security and the Risk Assessment Process 78 4.2.1 Design Basis Threat 84 4.2.2 Catastrophe Modeling 85 4.2.3 Levels of Probability 85 4.3 Risk-Based Decision Making 87 4.4 Cost-Effective Risk Assessment 89 4.4.1 Recommendations for Developing Efficiencies in Risk Assessment Strategies 89 4.5 Security Survey 90 4.5.1 Identify Assets 90 4.5.2 Establish Criticality 91 4.5.3 Determine Vulnerability 91 4.5.4 Determine Probability 92 4.6 Quantification of Risk 92 4.7 Summary 97 References 100 5 Port Facility Security as a Management Function 103 5.1 Acts and Functions of Management 103 5.1.1 Organizational Behavior and Organizational Theory 103 5.1.2 A Problem-Solving Approach to Port Security Management; Lessons from the Police Experience 106 5.1.3 What Managers Do in Organizations 107 5.2 Port Security Planning 109 5.2.1 Design and Architecture Stage 110 5.2.2 Focus on Integration and Cooperation 112 5.2.3 Minimize the Fortress Mentality 112 5.3 Developing a Port Facility Security Plan 113 5.3.1 Planning a Layered Approach to Security 114 5.4 Port Management in a Homeland Security Environment 116 5.4.1 Homeland Security Act of 2002 117 5.4.2 Homeland Security Presidential Directives 118 5.4.3 Maritime Transportation Security Act of 2002 122 5.4.4 Security and Accountability for Every Port Act of 2006 122 5.4.5 United States Coast Guard Navigation and Vessel Inspection Circulars 123
x 5.5 Developing Security Partnerships 123 5.5.1 Port Security Steering Committee 125 5.6 Summary 126 References 128 PART III IMPLEMENTING A PLAN FOR PORT SECURITY: MANAGEMENT TASKS AND RESPONSIBILITIES 6 Facility and Personnel Security 133 6.1 Port Facility Security Officer 133 6.1.1 General Provisions 134 6.1.2 Qualifications 134 6.1.3 Responsibilities 135 6.2 Port Facility Security Plan 135 6.2.1 Organization of the Port Facility Security Plan 136 6.3 Maritime Security Levels 137 6.3.1 MARSEC Level 1 138 6.3.2 MARSEC Level 2 138 6.3.3 MARSEC Level 3 138 6.3.4 MARSEC Level Change Action List 138 6.4 Facility Security Assessment 140 6.4.1 Background Information 141 6.4.2 On-Scene Survey 141 6.4.3 Analysis and Recommendations 141 6.4.4 Facility Security Assessment Report 143 6.5 Facility Security Plan Audit 144 6.6 Port Personnel Security Awareness 144 6.6.1 Objectives for a Port Security Awareness Program 145 6.6.2 Port Security Awareness Components: What Personnel Need to Know 146 6.7 Summary 149 References 150 7 Access Controls 153 7.1 Port Vulnerabilities Associated with Access Controls 154 7.1.1 Frequency of Access 154 7.1.2 Advance Notice Requirements 155 7.2 Identification and Credentialing 156 7.2.1 Photo Identification Credentials 156 7.2.2 Fingerprints and Criminal History Background Checks 157 7.2.3 Transportation Workers Identification Credential 158 7.2.4 Credentialing Procedures 160
7.2.5 Credentialing Classification Systems 160 7.2.6 Credential Coding 161 7.2.7 Production Processes 162 7.2.8 Credential Sequencing 162 7.2.9 Lost or Stolen Credentials 162 7.2.10 Role of Port Users in Credentialing Programs 162 7.2.11 Visualizing and Inspecting Access Credentials 163 7.2.12 Visitor Controls 163 7.2.13 Visitor Brochure 164 7.3 Restricted Area Access Controls 166 7.3.1 Balancing Access Control and Port Commerce 167 7.3.2 Identifying and Defining Restricted Access Areas 167 7.3.3 Gates and Gate Access Controls 169 7.3.4 Preventing and Deterring Access to Restricted Areas 170 7.3.5 Controlling Vehicles in Restricted Access Areas 170 7.3.6 Temporary Restricted Area Vehicle Authorization Documentation 171 7.4 Vehicle and Pedestrian Screening 173 7.4.1 Suspicious Indicators in Screening 173 7.4.2 Screening Equipment 174 7.4.3 Delivery of Vessel Provisions 174 7.5 Access Control Measures 175 7.6 Summary 177 References 179 8 Physical and Waterside Security in the Port Facility 181 8.1 Managing Physical Defenses in a Competitive Environment 181 8.2 Standard Operating Procedures 182 8.3 Perimeter Security 183 8.3.1 Crime Prevention through Environmental Design 184 8.3.2 Fencing 187 8.4 Parking Control 190 8.5 Access Points 191 8.6 Small Vessel Threat and Waterside Security 194 8.6.1 Port Security Small Vessel Threat Mitigation Strategies 197 8.7 Summary 202 References 204 9 Security Force Management 207 9.1 Security and Human Resources 207 9.2 A Framework for Managing and Leading the Security Force 208 9.3 Staff Planning and Budgeting 211 9.3.1 Staffing Needs Assessment 212 9.3.2 Debate on Private Security versus Law Enforcement 213
xii 9.3.3 Debate on Proprietary Security versus Contract Security 215 9.4 I )eveloping and Maintaining Force Competencies in Port Security 217 9.4.1 Port Security Personnel Training 217 9.4.2 Written Directives 221 9.5 Security Force Operations and Patrols 223 9.6 Summary 224 References 226 10 Vessel and Cargo Operations 227 10.1 Vessel Operations 227 10.1.1 Security Planning Considerations for Vessels 228 10.1.2 Coordinating Security between the Port Facility and Vessels 233 10.1.3 Declaration of Security 235 10.1.4 Passenger and Crew Security 238 10.1.5 Military Vessel Visits to Commercial Port Facilities 239 10.2 Cargo Operations 240 10.2.1 United States Government Initiatives to Secure Cargo 240 10.2.2 Cargo Security in the Port Facility 243 10.2.3 Cargo Building Security 246 10.3 Summary 250 References 251 11 Safety and Emergency Management 253 11.1 Safety Management in the Port Facility 253 11.1.1 Occupational Safety and Health 253 11.1.2 Port Facility Safety 254 11.1.3 Port Safety Officer 255 11.1.4 Port Safety Committee 258 11.2 Emergency Management 260 11.2.1 Port Facility Interfaces with Homeland Security 260 11.2.2 National Incident Management System and Incident Command System 262 11.2.3 Elements of an Emergency Operations Plan 264 11.2.4 Role of the Port Facility Security Officer in Emergencies 264 11.2.5 Hazardous Materials Incidents 266 11.2.6 Port Facility Evacuations 269 11.2.7 Emergency Information Management 270 11.2.8 Increases in Maritime Security Levels 271 11.2.9 Continuity of Operations Planning 272 11.3 Summary 273 References 275
xiii 12 Managing Technology Solutions for Port Facility Security 279 12.1 Security Convergence in the Port Facility: The Role of Technology 279 12.2 Situational Awareness and Situational Readiness 282 12.2.1 Situational Awareness 282 12.2.2 Situational Readiness 283 12.3 Surveillance Systems 284 12.3.1 Sonar 285 12.3.2 Closed Circuit Television 287 12.4 Computer and Information Security 292 12.4.1 Cyberterrorism 292 12.4.2 Employee Education for IT Security 294 12.5 Summary 295 References 296 13 Intelligence 299 13.1 Role of Intelligence in Port Security Planning 299 13.2 Sharing of Public-Private Sector Intelligence 303 13.3 Fusion 306 13.4 Summary 308 References 308 14 Systemic Management for a Secure and Viable Port Facility 311 14.1 Collaborations between Port Security and Law Enforcement Operations 311 14.1.1 Administrative and Coordinating Roles of Police Units in Port Facilities 312 14.1.2 Incident Investigations: Suspicious Activities 313 14.2 Systemic Management of Port Security: Case Study PortMiami (1997-2006) 314 14.2.1 Overview 315 14.2.2 Security Organization 316 14.2.3 Legal and Financial Constraints 318 14.2.4 Lessons Learned 320 14.3 The Challenge of Collaboration in Managing Port Security 323 14.4 Summary 325 References 326 Glossary and Organizational Resources 329 Bibliography 341 Appendix 345 Index 347