Maritime Security Requirements for Shipping Companies and Ports: Implementation, Importance and Effectiveness

Transcription

1 Maritime Security Requirements for Shipping Companies and Ports: Implementation, Importance and Effectiveness Elena Sadovaya, Vinh V. Thai Division of Infrastructure Systems & Maritime Studies, Nanyang Technological University, Singapore May 2012

2 Outline Background Problem Identification Research Objective Research Methodology Findings and Discussion Academic and Managerial Implications Conclusion

3 Maritime Security Regulations International level: IMO ISPS Code IMO/ILO Code of Practice on Security in Ports ILO Seafarers Identity Documents Convention WCO framework National and Regional level: US: C-TPAT, CSI, SFI, 24HR, 10+2 Rule, ANOA EU: AEO Program, Regulation on Enhancing Ship and Port Facility, EU 24HR Others: Canada 24HR, Mexico 24HR, China 24HR, STAR Initiatives, PIP, STP, StarSec, Secure Export Partnership, etc. Industry level: SST, ISO Standards, BASC

4 Compulsory and voluntary regulations Compulsory regulations Voluntary regulations Shipping companies Ports Shipping companies Ports Internationa l ISPS Code Seafarers Identity Documents Convention ISPS Code SAFE Framework of Standards Code of Practice on Security in Port, SAFE Framework of Standards Industry National and regional US 24HR US 10+2 Rule US ANOA Canada 24HR China 24HR Mexico 24HR EU 24HR EU Regulation on Enhancing Ship and Port Facility Security CSI SFI EU Regulation on Enhancing Ship and Port Facility Security C-TPAT EU AEO STAR initiatives PIP STP StarSec Secure Export Partnership ISO Standards, BASC C-TPAT EU AEO STAR initiatives PIP STP StarSec Secure Export Partnership SST, ISO Standards, BASC

5 Maritime Security Requirements Categories Physical security Access control Cargo security Personnel security Security training and awareness Cooperation with authorities Information and documentation security Security of business partners Crisis management and incident recovery Security assessment, response and improvement Security onboard the ship and/or in port facility Personnel related security Cooperation with authorities regarding security issues Overall company security management

6 Maritime Security Requirements

7 Maritime Security Requirements

8 Maritime Security Requirements

9 Maritime Security Requirements

10 Maritime Security Requirements

11 Maritime Security Requirements

12 Problem Identification The list of requirements Too long? For shipping companies and ports Too short? For regulators

13 Implementation, effectiveness and perceived importance of requirements

14 Implementation, effectiveness and perceived importance of requirements Literature 1. Voss et al. (2009) 2. Thai (2007, 2009) 3. Gutiérrez et al. (2007) 4. Urciuoli et al. (2010) 5. Yang (2010) 6. Thibault, et al. (2006) 7. Bichou & Gray (2004) 8. US Government Accountability Office (2008a, 2008b)

15 Research Objective To study which of the maritime security requirements are: implemented in shipping companies and ports considered as important for security improvement effective with respect to security and other organizational performance connection between them

16 Research Methodology Method of data collection Structured interview Sampling design Security managers of three shipping companies: containership company 1 tanker companies 2 Random selection from university database Design of research instrument Two parts of interview form: 1. open-ended questions regarding implementation, importance and effectiveness 2. classifying information

17 Findings and Discussion Implementation Compulsory requirements: Implemented: majority of requirements Not implemented: routing checking of cargo, SID Voluntary requirements: Implemented: majority of voluntary requirements Participation in some voluntary partnership programs Requirements implemented before participation in the programs: access control, procedures for hiring and screening employees Not implemented: SMS, security screening of employees and business partners

18 Implementation (Cont-d) Additional measures: tracking system contingency plans for ships anti-piracy measures: armed guards onboard citadels and safe master points bubble wires binocular vision devices bullet-proof helmets, jackets and visors, etc. compliance with IMO BMP4, IMO Guidance on the use of armed security guards on board research on development of independent tracking system

19 Implementation (Cont-d) Problems: - Lack of common procedure when implementing different voluntary security programs - Need for mutual recognitions - Too many requirements! - Overlapping of compulsory requirements for different trading areas (in different countries) - Need for common regulatory framework

20 Perceived Importance Important for security issue: SSA, security training and drills Not important for security issue: To display SIN, use SID, install AIS, keep records of activities and CSR (more important for compliance issues) exchange of information with authorities (more important for commercial and political issues) screening of employees and business partners

21 Effectiveness Effectiveness with respect to security: (mostly based on crisis and incident exercises) Effective: majority of requirements Not effective: to install SSAS, AIS, display SIN, keep records of activities and CSR, and obtain ISSC

22 Effectiveness (Cont-d) Effectiveness with respect to other organizational performance: Requirements Positive impacts Negative impacts AIS records of activities Organizational roles and responsibilities, self-assessment, training on crisis management Requirements of the ISPS Code Access control SSAS Others Impact navigation post-incident investigation changes in procedures and technologies, identification of incident causes, feedback and cooperation with employees extra work, fatigue of the crew, problems for crew to go ashore, extra jobs for the shore-based staff conflict between safety and security false activation money, time, information and advance planning

23 Implementation, Importance and Effectiveness Some interviewees expressed opposite opinions about effectiveness of the same requirements, therefore, effectiveness can depend on the management approach Examples of the interviewed organizations show that effective security management helps to achieve positive results

24 Academic and Managerial Implication Effectiveness of security requirements depends on the approach chosen for security management Need for further research on this area Impacts of implementation of security requirements on organizational performance Information for consideration of managers and regulatory bodies: which of the compulsory requirements are not implemented and why; which of the voluntary requirements are considered as important and effective for security purposes and why; effectiveness can vary depending on management approach; list of the compulsory and voluntary security requirements

25 Conclusion Significance: Comprehensive list of compulsory and voluntary security requirements for shipping companies and ports First study conducted on the investigation of implementation, importance and effectiveness of both compulsory and voluntary maritime security requirements Limitations Results cannot reflect the view of the whole industry because: Interviewed companies are big and well-established Small number of interviews conducted

26 Thank You