Maritime Safety and Security

Posted: March 18th, 2024

Maritime Safety and Security
1. Introduction
Maritime safety and security represents a major establishment of the global voyage and transportation industry. The significance of maritime safety and security, as well as national economic security, is not new in the 21st century, particularly in the United States. In order to embark years of sustained globalization and technological innovation, ensuring maritime safety and security has now become even more essential and challenging than ever before. This is principally because of the broadened and deepened transportation ways and the ever-increasing carriage of ocean-going trade worldwide. In addition, unprecedented and extraordinary technological progressions and advanced solutions in the maritime sector in the course of recent years have likewise presented similarly extraordinary opportunities for enhancing and streamlining maritime safety and security. It is secure to state that every single country in the world, and worldwide organizations involved in the oceanic activities, put forward different activities to reinforce and develop maritime safety and security on a permanent basis. Though systems and techniques for realizing such deeds massively complex and wide-ranged, the ultimate objectives of those activities can be extensively classified into a few vital elements, for example, decrease of the frequency of safety and security accidents, reduction of the impact of the dangers of safety and security and the hostile activities on the economy and semblance of national security, envelopment of protected, effective and environmentally-friendly technologies and practices, further development of international cooperation and business standards and survival of a robust and stable international maritime order and regimen. There has been various international conferences, legal drafting and policies, both regionally and globally, concentrating on maritime safety and security. This paper seeks to integrate the sources and literature of both the maritime safety and security in a historic, current as well as future context and comprehensively analyze the significance of maritime safety and security on the national scope. It is vital for each nation to maintain its regime on safety and security based on creating a certain sustainable, secure and safe marine environment inside the regime of international maritime laws and regulations. It is likewise in light of a legitimate concern for whole humankind to promote heightened international maritime safety and security these days.
1.1 Importance of Maritime Safety and Security
Maritime safety, one of the most important issues in shipping, involves the prevention of collisions, groundings and other incidents which can cause pollution and damage to property and the marine environment. On the other hand, piracy, drug trafficking, stowaways and maritime terrorism are significant threats to maritime security, particularly since September 11, 2001. Therefore, ensuring both maritime safety and security has been receiving increasing attention in the world of shipping. By definition, ‘safety’ means the state of being safe, that is, the condition of being protected against physical, social, spiritual, financial, political, emotional, occupational, psychological, educational or other types or consequences of failure, damage, error, accidents, harm or any other event which could be considered non-desirable. ‘Security’, on the other hand, describes the processes and mechanisms employed to achieve safety, that is, the state of feeling safe, stable and free from fear or anxiety. It is essential for a shipping business to include safety and security at the management level in order to lead an organization effectively and efficiently and foster a positive safety and security culture. Actively demonstrating to society that safety and security is a ‘never-ending’ mission, the industry works under a ‘no blame’ culture. This means that emphasis is put on the investigation of failures, errors or accidents that occur, rather than identifying a scapegoat to blame for the incident. This approach to safety and security is manifest in the legislation in force in many countries, such as the UK. For example, the Health and Safety at Work Act 1974, the Management of Health and Safety at Work Regulations 1999, and the draft Corporate Manslaughter Bill and the Ship Security and ISPS Code is overtly directed towards the assessment and management of all and any kind of risk, so that the likelihood and severity of an incident can be minimized.
1.2 Scope of the Work
The “Maritime Safety and Security” document will cover many areas, as shown in the table of contents. It will cover topics from international regulations and standards to different measures that can be taken in order to provide a safe maritime environment. Additionally, topics such as threats, security measures and the future of both marine safety and security will be explored. Because the document covers so many different topics in such detail, it will need to be very comprehensive. It will also need to contain a sufficient amount of primary and secondary research. This will provide evidentiary support and will sometimes allow the author to make a ‘boasts’ statement, whereby they provide one or two main points that the rest of the paragraph supports. The use of a range of maritime safety and security literature will provide depth and background for the academic study as well as show the author’s understanding and interpretation of the work of others. The literature and research will also be used to develop a range of valid arguments and explore the different topics that must be covered in a project of such a diverse nature. This document will be used to create a basis of understanding for those that read it. As the author, and in charge of marine operations and safety it will be my job to ensure that this work is accurate. However, as the safety manager, what should be implemented is a transparent and self-regulatory approach to marine safety that has a simple aim: continuous improvement in safety standards for the protection of people, the marine environment, operations and property. Rather than focusing on the minimum safety compliance and the avoidance of legal action, a focus should be placed on achieving internal safety management objectives and exceeding safety standards.
2. Maritime Safety
The application of the ISM and the ISPS Codes shifts the industry to a structured risk prevention and management approach, mandating regular maintenance of safety measures in the shipping operation and in the port facilities. As a case in point, the International Convention for the Safety of Life at Sea (SOLAS) is the most important treaty governing the safety of merchant ships, and has been regarded as the most important of all international treaties dealing with the health and safety of seafarers. Under SOLAS chapter IX, the establishment of a mandatory International Code of Safety for Ships Using Gases or Other Low-Flashpoint Technology (IGF Code) was in force beginning from January 2017, which mandates for the safe and a consistent safety approach to be followed throughout the design and the operation of gas-fueled ships. With the IGF Codes in place, it ensures that risk assessment, detailed design of gas-powered systems, and necessary operational and maintenance practices are in compliance with international standards. With this international trend in promoting a risk-based and a technology-inclusive standard across the shipping industry, the safety of the ship and the marine environment can only be improved. DeepCopy of this code is also adopted in the European Union by its member states, extending the practical influence of the code apart from the international context.
The ISPS Code is a risk management and a preventive approach designed to mitigate the vulnerability of the maritime industry against potential security threats. With the use of security levels, security plans, security officer training, the maintenance of the ship security, and security audit and review, stowaways and thefts are more effectively prevented or detected.
Maritime safety encompasses the safety of vessels, infrastructure, and human life in the maritime industry. Seeing the complex and highly integrated nature of the industry involving multiple parties, including shippers, carriers, and port authorities across different national and international jurisdictions, regulations and standards must be in place to govern the maintenance of acceptable safety practice throughout the industry. Internationally, the International Maritime Organization (IMO) is a specialized agency of the United Nations with the responsibility to regulate and standardize the safety of the maritime industry. The IMO came up with the International Safety Management (ISM) Code, which outlines the legal framework for the safeguarding of the ship, and the International Ship and Port Facility Security (ISPS) Code, which focuses on the detection and deterrence of threats to ships and port facilities. The ISM Code requires shipping companies to ensure that safety management objectives are established, and applicable requirements of maritime safety regulations are complied with. Certificates are issued upon successful verification that the objectives and the requirement of the Code had been met.
2.1 International Regulations and Standards
To ensure a consistent approach to maritime safety, all of the ship’s activities are governed by a comprehensive set of international laws. The primary aim is to ensure that safety at sea becomes a top priority and that consistent standards are applied throughout the world. At a high level, the international regime for maritime safety started to develop in the 19th century. However, the first comprehensive international set of laws was drafted in 1914 following the sinking of the Titanic. We have also seen the establishment of the International Maritime Organization (IMO) as a specialized agency for the United Nations, and international safety standards have become more developed and more complex. IMO conventions work on the principle that if a certain number of flag states sign and ratify the convention, then it becomes legally binding and mandatory on those member states. For example, the International Convention for the Safety of Life at Sea (SOLAS) was established by IMO in 1914 in response to the sinking of the Titanic. SOLAS sets out the minimum standards for the construction, equipment, and operation of ships, compatible with their safety. The International Safety Management Code was also established following a period in the 1980s and 1990s, which saw a number of high-profile casualties, including the sinking of the Herald of Free Enterprise and the Estonia. This code requires that all shipping companies who operate international vessels have a relevant safety management in place, which has been approved by its flag state, such as the United Kingdom.
2.2 Safety Measures and Procedures
Safety measures and procedures are one of the fundamental aspects in ensuring maritime safety. This part of the document provides an insight into the various safety measures and procedures that are practiced in the maritime industry. The International Ship and Port Facility Security (ISPS) code serves as the cornerstone for the security measures. It is a risk management system designed to determine the weakness of a port facility’s security and to develop measures that will ensure the security of the port facility and the ships. The ISPS code is implemented through Chapter XI-2, Part A of the International Convention for the Safety of Life at Sea (SOLAS). From 1st July 2004, the code has been applied to the 148 contracting governments of SOLAS. Hence, ports need to assess the risks and to implement strict security measures such as deciding the restricted areas and ensuring that preventive measures, for example control access, are properly carried out. In particular, all ports are required to appoint a Port Facility Security Officer to control and coordinate the security activities. Furthermore, the document also illustrates many other preventive security measures such as surveillance and patrolling, provision of security personnel, security and access control, and maintenance of sensitive security information. On the other hand, different ships have different safety equipment according to their area of operation and sizes. For instance, a type ‘A’ ship which is certified for unlimited area of operation must carry more safety equipment such as type ‘A’ life-jackets and life-buoys than a ship which is certified for sheltered waters which is far safer. More importantly, all ships should have a well-defined safety management system incorporating a systematic risk management and quality management in safety procedure. Hence, employment of experienced and professional safety security personnel is crucial. This part of the document provides an insight into the various safety measures and procedures that are practiced in the maritime industry. The International Ship and Port Facility Security (ISPS) code serves as the cornerstone for the security measures. It is a risk management system designed to determine the weakness of a port facility’s security and to develop measures that will ensure the security of the port facility and the ships. The ISPS code is implemented through Chapter XI-2, Part A of the International Convention for the Safety of Life at Sea (SOLAS). From 1st July 2004, the code has been applied to the 148 contracting governments of SOLAS. Hence, ports need to assess the risks and to implement strict security measures such as deciding the restricted areas and ensuring that preventive measures, for example control access, are properly carried out. In particular, all ports are required to appoint a Port Facility Security Officer to control and coordinate the security activities. Furthermore, the document also illustrates many other preventive security measures such as surveillance and patrolling, provision of security personnel, security and access control, and maintenance of sensitive security information. On the other hand, different ships have different safety equipment according to their area of operation and sizes. For instance, a type ‘A’ ship which is certified for unlimited area of operation must carry more safety equipment such as type ‘A’ life-jackets and life-buoys than a ship which is certified for sheltered waters which is far safer. More importantly, all ships should have a well-defined safety management system incorporating a systematic risk management and quality management in safety procedure. Hence, employment of experienced and professional safety security personnel is crucial.
2.3 Case Studies on Safety Incidents
To present the third aspect, you talk about the legal standards and comparison. On the other hand, to describe an era or an event, you may want to use contemporary sources and modern historians’ opinions. Well to focus on a person or an individual, you may want to look at the key event in that person’s life and make a judgment between different factors affecting that person’s life. This is particularly the strategy adopted by most of the historians. But obviously there is always the first two, that’s legal history and intellectual history. For case studies about safety incidents, yachts, small crafts, and shipping accidents on collision and wreck, general study claims and accidents, investigation of merchant shipping accidents, MAIB funded reports and crew safety, man over board cases, etc. may be used. As for some useful sources that can be found in Maritime Study Guide, UK P&I Club, Carefully to Carry, Gard AS, Water on Top of Liquid Cargoes and the Court’s Findings, Clarkson Research, World Fleet Register, Hong Kong Merchant Shipping Information Note 22/2012 and UK MAIB Case Studies & Annual Reports.
3. Maritime Security
Nowadays security and defense are the most discussed topics all around the world, and it is not an exception for the maritime sector. The growth of technology, globalization of the world or the various threats make the maritime security one of the most important topics for the whole world. The absence of a security perception which is that important could lead to environmental damage, loss of human lives, and damage to the global and national economy. On the other hand, very little research has been done related to maritime security. However, the improvement in the international maritime safety and the introduction of the International Safety Management Code (ISM) in 1994 and International Ship and Port Facility Security Code (ISPS) in 2002, it became clear that effective and comprehensive security measures are necessary in the maritime sector. The absence of a specific definition for the term “maritime security” results in wide interpretation of the concept. For example, Skeet suggests that the term could be used to refer to the security of the maritime industry as a whole or the security for, in, or from the ocean or the security of maritime trade and infrastructure. He also adds that maritime security could be focused on the national or international level. On the other hand, according to United States Naval Policy, maritime security is described as the measures which are taken to protect a maritime nation’s sovereignty and territorial, environmental, and economic interests, in or from the maritime space which may include the freedom of navigation and overflight.
3.1 Threats to Maritime Security
Although there are some rare occasions such as mechanical failures or natural phenomena causing maritime safety problems, the majority of the threats against the maritime security that have been discussed are deliberate in nature. Cyber-attacks are increasingly within the focus of the security community and this is no different within the maritime domain. With the growing use of autonomous systems and the degree of connectivity in terms of shipping and logistics, the potential risks and impacts of cyber-attacks have become seen as a significant and emerging area of concern within maritime security.
On the other hand, threats against the maritime transportation generally point out the vulnerabilities of the actual goods or people that are being transported. This could occur either by targeting the logistics and supply chain associated with the goods that are being transported, or by targeting the vessel itself, its crew or its passengers. Some of the typical examples include theft, shipping of contraband, people trafficking and in certain parts of the world, even piracy.
In general terms, threats to maritime security can be categorized as either threats against the maritime transportation infrastructure or threats against the maritime transportation itself. As far as the threats against the infrastructure are concerned, we are mostly talking about potential deliberate hostile actions targeting the infrastructure. This may include attacks against the ports, such as the waterside and landside infrastructure (including vessels at ports and the port facilities such as cargo handling equipment and storage areas), as well as against critical maritime transportation assets such as the vessels themselves. In addition, there are potential threats against the fixed maritime infrastructure. A good example of a threat against the port security might be a sophisticated or large scale terrorist attack aimed at causing high numbers of casualties or damage.
The diverse scope of maritime activities, characteristic of the complexity and dynamic nature of the maritime environment, means that there are a broad range of potential security threats. In order to address these threats, it is necessary to develop a comprehensive understanding of the types of threats that may be posed. From there, appropriate measures can be taken to mitigate the associated security risks.
3.2 International Maritime Security Initiatives
For example, the constituting agreement of the CMF explicitly mentions “a long-term, combined and coordinated naval and air force and multinational effort” for “preserving regional and international peace and security, including the security of the maritime commons”. By committing the signatories to cooperating in ensuring the freedom of navigation and the protection of seaborne trade, they hope to contribute to “long-term regional and international stability”. This reflects the ethos of regional and international cooperation for the good of the wider global community—a critical aspect of maritime security and the focus on “common goods”.
These international and regional initiatives, both regional collaboration and international coordination, exemplify the multi-faceted approach to maritime security that covers different geographical regions, different security threats, and different forms of security and cooperation. Such measures are positive signs that the international community is making efforts to work together to maintain peace and security at sea. These initiatives also reflect the principles of “Freedom of the seas” and the United Nations Convention on the Law of the Sea (UNCLOS).
The European Union Naval Force (EUNAVFOR), also known as Operation Atalanta, is a military task force with a mandate to act in a “high-risk area” based on UN Security Council resolutions. It conducts counter-piracy operations and is responsible for protecting humanitarian aid deliveries from attack by pirate groups. In fact, according to the European Council decision 2012/389/CFSP, Operation Atalanta is the first maritime security operation led by the European Union under the Common Security and Defence Policy.
In addition to regional initiatives, international naval cooperation has also been established to protect merchant shipping from the various threats to maritime security. For example, in the face of growing concerns over piracy, the Combined Maritime Forces (CMF) was established in 2012 as a 33-nation naval partnership which supports security, stability, and prosperity across approximately 3.2 million square miles of international waters in the Middle East. It provides training and support to regional navies, leading combined activity at sea in order to promote and foster enhanced maritime security.
3.3 Security Measures and Technologies
In the International Ship and Port Facility Security (ISPS) Code, which was adopted following the 9/11 terrorist attacks in the United States and implemented through amendments to SOLAS (Safety of Life at Sea) chapter XI, a comprehensive set of security measures is proposed to ensure the early and accurate identification of security threats. The combination of these measures would provide concentric circles of security layers, and the ISPS Code advocates a risk-based, outcome-focused approach relevant to the modern-day threat profile.
By establishing multiple layers of security, it would require a potential adversary that wishes to undertake a security breach to defeat not just one, but several independent security measures which have different techniques and thus offer a complex task for the adversary. This is known as the principle of concentric circles, where access to the most critical assets is surrounded by a large number of protective layers that become increasingly difficult to breach as the innermost circles are approached. An equivalent of concentric circles approach is known as the Swiss Cheese Model, where the vulnerabilities of one layer are counterbalanced by the strengths of an additional layer, so that some of these layers would have their vulnerabilities mitigated by another layer. This approach exploits the concept of individual layers likely to be holed like a slice of Swiss cheese, however, in a series, all the layers are aligned so that the holes in different layers do not align, providing an effective defense mechanism that is difficult to breach.
Maritime security measures and technologies encompass a wide array of equipment, procedures, and regulations. The key objective is to deter and prevent illegal acts, as well as to enable rapid detection in case any criminal activity takes place. Just like in the context of safety, a layered approach is applied in security. This means that no single tool, measure, or technology would in itself be adequate in providing the necessary level of security throughout. Instead, a combination of different tools, measures, and technologies, each complementing the other, is employed to ensure a higher level of protection.
4. Integration of Safety and Security
The International Maritime Organisation has outlined several steps that can be taken to integrate safety and security. The first step is to carry out a security risk assessment and prepare a security plan, known as a Ship Security Assessment and a Ship Security Plan. This process is similar to the safety management system – it involves structural and procedural changes, and staff have to be trained in security awareness and the new procedures. This shift in focus from safety management to a combined safety and security management has brought forth the concept of Enterprise Risk Management (ERM) into the maritime industry. It is a methodology which supports the integrated management of all risks, including major safety, security, environmental and business continuity risks. This encourages the offset activities to be effective and avoid costly duplication thus ensuring optimum use of available resources. However, in reality, the safety and security departments are often working in silos mostly due to the lack of understanding and unresolved conflicts in the management structures. In trying to find the best possible approach on integrating the two, several industry experts and researchers argue that the safety department is usually more technically oriented whilst the security department is often more management and politically oriented. This may be a further complicating factor for integration of safety and security if the current management structure is based on clearly defined responsibilities and authorities. On an integrated, interconnected and interdependent platform, maritime transportation system should be designed to operate as a complete system wherein each part should complement and support the system’s purpose and objective. Such a system envisages and accommodates varying randomness and uncertainties in achieving the safety, resilience, responsiveness, security and the efficiency necessary for desired and expected outcomes. However, the integration of safety and security, especially in a complex system like the maritime transportation system, is both challenging and critical. A system that is resilient is able to perform intended functions and deliver the level of service in the presence of various challenges, including natural and man-made hazards, errors and failures. There are several characteristics that must be addressed in order to have a successful integration of safety and security. First and foremost, authority should be established as a precondition in integration. Coupled with the necessity to recognise safety and security as collective interests and responsibilities in an integrated effort, a unified authority helps to enable the development of some commonly shared principles and systems. This well-recognised unified command and control infrastructure facilitates the design of an integrated system that is all conclusive. On the other hand, physical and psychological aspects of human factors must be considered as crucial elements in successful safety and security integration. Humans are the most critical but also the most unpredictable components in the entire safety and security environment. Their performances are based on the physical environment around them and also the psychological environment within them. Synergies between the safety and security improvement processes and the use of Management Systems in both disciplines are identified. The ongoing growth of the safety and security sciences and experience means that safety and security knowledge will undoubtedly continue to expand. Therefore, the importance of Research and Development (RAD) should aptly be stressed. RAD activities should not be restricted to universities and research institutions but should also involve industrial engineering and management professionals. Such a strategy will facilitate the broad-based development and implementation of more advanced systems, principles and techniques in the integration of safety and security in the maritime industry.
4.1 Synergies and Challenges
There are several areas in which safety and security can be merged or closely coordinated, however, this requires a very careful and focused approach. Sections 4.1 and 4.2 of ISPS Code, which were developed as part of the response to 9/11 attacks and the new shipping and port security focus. They require that the ship security assessments and plans required in 4.1 are taken as the starting point for an appropriate port that uses a risk-based approach set out in 4.2. However, the effective merging of safety and security strategies can be quite problematic due to lack of precise technology and different procedural requirements of safety and security, and such combination would inevitably increase the complexity of the safety management system integrative processes. This poses a significant question regarding the extent, scope and nature of the inspirations of the standards of safety to the standards and regulations applied to security. This may be explained by Michael, Panayides and Psaraftis, that as regulations, compliance, safety management and business excellence are all of the issues and the motivation of those seafarers and organizations have always been a crucial topic that is being regularly debated. Moreover, the minimal guidance from regulations and the limitation of the technology could lead to the validation of the safety and security by unlocking new knowledge and realizing new solutions. Finally, it is also challenging for the potential and current seaports and airports employers to deal with the desire of demonstrating the adoption of the new security technologies, such as unmanned patrol aircrafts and ground vehicles, while ensuring the process and operation fulfill the safest working standards. Also, employees such as mobile robot designers and operators have to deal with the conflict of personal risk and compliance with safety standards and legislation in the workplace. The information safety in the workplace is that a relatively unsafe working environment can give rise to more accidents, but whether the implementation of high levels of safety compliance can completely eliminate accidents is still remain in answer.
4.2 Best Practices for Integrated Approach
The section then discusses the Safety Management System, as it provides the necessary framework for a consistent and reliable approach to managing safety. The International Safety Management Code was implemented as a requirement for all commercial shipping vessels. Such system involves a very strict management strategy and puts heavy emphasis on performing risk assessment for safety measures. It is suggested that an effective safety risk management should incorporate a cyclical process for the continuous improvement on safety. The safety management should involve the setting of policies, implementing proper procedures, and the achievement of objectives. It is stated that when an integrated management system is in place, the safety management system can be modified to take account of security measures. This demonstrates a practical translation of the integrated approach from the theoretical level. Combined with the emphasis on risk assessments for both safety and security measures, it is believed that the latest measures and efforts from the International Maritime Organization and the international community will reinforce an integrated management system.
The International Maritime Organization has set out best practices for safety management and security measures in international shipping. The ISPS Code and the International Ship and Port Facility Security Programme have formed the core of maritime security at the international level. The Code requires the contractual parties to ensure the application of the measures as far as practical. These obligations place heavy emphasis on effective safety risk management and integrated management systems. Skilled experts with the support of sophisticated technology and equipment are depended upon to detect security risks at an early stage and keep casualties to a minimum. It is suggested that effective safety risk management and proposed investments from both governments and industries into technology and equipment are essential in maintaining the highest level of safety and security in the maritime industry. Furthermore, practical exercises and drills are to be held regularly to assess the sufficiency of the security plans and measures. The Code requires the port and the ships to cooperate, and it is seen that the combination of a well-tailored port security plan with ship security plans yields an integrated and effective strategy for the best results in maritime security.
Overall, this report provides a comprehensive overview of maritime safety and security, addressing key aspects such as regulations, measures, and case studies. It emphasizes the importance of integrating safety and security for the well-being of the maritime industry.
4.3 Future Trends and Recommendations
The integration of maritime safety and security has been recognized as the way forward for the continuous protection of maritime interests and industry. Security is being incorporated into the maritime safety management systems of many countries and just like the international maritime industry is moving towards an approach which integrates the two. It is foreseen that in the future the integration of safety and security will become even more important and will be required in an efficient and harmonized manner. This can be illustrated by the increased cooperation in the drafting and adoption of international conventions. The successful example is the ISPS Code, which is a landmark in the history of security regulations and has been adopted as a part of the SOLAS convention. This convention has been ratified by over ninety percent of the world merchant fleets and this has made it a truly international security system which is aimed to improve the security of the ships and port facilities and make our port and shipping even safer. However, much needed to be done on the implementation of the Code and how to make the best of the integration. One way that can further the success of such integrated systems is the effective use of modern technology. For example, automatic identification systems, which is a new system and it can provide real-time maritime traffic information for the ship’s crew and also shore-based authorities. By enhancing the flow of the information between sea and shore, it is not only benefiting the safety of the navigation, but also the security at the same time. New technology moves on all the time and it is believed that in the future, technology will be available which will enable to make a big step further on the so-called ‘e-navigation’, which will not only modernize the way we manage the maritime traffic in the busy waterways, but also make it even safer and more secure. This strategy could reduce the risk of human errors and lack of situational awareness and can lead to safer and more efficient ship’s movements. Such technological trends will help in developing a better integration of maritime safety and security by improving the system’s resilience. It will also go some way to address the inevitable ongoing challenges that will occur due to external socio-influences and will make the transition to a fully integration much smoother. As for the recommendations, the future trends and recommendations in the field of the integration of maritime safety and security can be identified as the public-private partnership, the development of innovative security technologies and cybersecurity awareness and education.