1. School of Engineering Systems Engineering Program EMIS Department Systems Engineering Approach to Analysis of the Control/Communications Security Systems of the United States Critical Infrastructure with Emphasis on New Technology of the U.S. Ports Susan Vandiver, P.E. Gerard Ibarra Dr. Jerrell Stracener

2. School of Engineering Systems Engineering Program EMIS Department Contents of Presentation Systems Engineering Objective Systems Engineering Process Problem Statement –Background Information –Defining the Critical Infrastructure –The Port of Houston Investigate the Alternatives –Security Technology – USCG –Security Technology – CBP –Security Technology of the Highway Transportation System Conclusion

3. School of Engineering Systems Engineering Program EMIS Department Objective The objective of this paper is to apply systems engineering processes to the analysis of new U.S. port control/ communication security systems. The ports are viewed as a subsystem of the critical infrastructure of the United States. This research is for the benefit of the stakeholders and society.

4. School of Engineering Systems Engineering Program EMIS Department Systems Engineering Systems engineering is an interdisciplinary process that ensures that the customer’s needs are satisfied throughout a system’s entire life cycle. The process is comprised of the following seven tasks: 1.State the problem, 2.Investigate the alternatives, 3.Model the system, 4.Integrate, 5.Launch the system, 6.Assess performance, 7.Re-evaluate (INCOSE, 2005)

5. School of Engineering Systems Engineering Program EMIS Department 1. State the Problem a.The problem is to determine the best system to mitigate the risk due to terrorism of the ports and the U.S. critical infrastructure. b.The critical infrastructure can be viewed as a system-of-systems in which the infrastructure subsystems that compose it are highly interconnected and mutually dependent in complex ways.

6. School of Engineering Systems Engineering Program EMIS Department 1. State the Problem (cont.) c.Identifying, understanding, and analyzing the interdependencies among infrastructure systems has taken on increasing importance in the last few years.

7. School of Engineering Systems Engineering Program EMIS Department What is Systems Engineering? A system is: –An integrated composite of people, products, and processes that provide a capability to satisfy a stated need or objective Systems engineering is: –an interdisciplinary process that ensures that the customer’s needs are satisfied throughout a system’s entire life cycle.

8. School of Engineering Systems Engineering Program EMIS Department Systems Engineering is Multi-disciplined and uses Multiple Viewpoints Engineering Management Logistics Reliability Maintainability Usability Human Factors Integrated Risk Management Systems Engineering is from the viewpoint of the stakeholders: –Port Authority –Coast Guard –Customs and Border Protection –Pilots –Workers –Shippers –Plus many others

9. School of Engineering Systems Engineering Program EMIS Department Public Law 107-56 Oct. 26, 2001 USA Patriot Act Section 1016 - Critical Infrastructures Protection Act of 2001 Definition of Critical Infrastructure Systems and assets, whether physical or virtual, so vital to the United States that the incapacity or destruction of such systems and assets would have a debilitating impact on security, national economic security, national public health or safety, or any combination of those matters.

10. School of Engineering Systems Engineering Program EMIS Department Critical Infrastructures Protection Act of 2001 (cont.) Private business, government, and the national security apparatus increasingly depend on an interdependent network of critical physical and information infrastructures, including telecommunications, energy, financial services, water, and transportation sectors. This national effort requires extensive modeling and analytic capabilities for purposes of evaluating appropriate mechanisms to ensure the stability of these complex and interdependent systems. It is the policy of the US that any physical or virtual disruption of the operation of the critical infrastructures of the US be rare, brief, geographically limited in effect, manageable, and minimally detrimental to the economy, human and government service, and national security of the US.

11. School of Engineering Systems Engineering Program EMIS Department The National Strategy for Homeland Security - 2002 Ensuring the security of global trading system is essential to our security and world commerce. Some 16 million shipping containers enter the US each year; roughly two-thirds come from 20 “mega” seaports. The US will work with its trade partners to increase security in these ports, establish greater controls over containers, pre- screen containers before they arrive in America, and develop technologies to track in-transit containers.

12. School of Engineering Systems Engineering Program EMIS Department Maritime and Transportation Security Act (MTSA) of 2002 US Facility and Vulnerability Assessment Vessel and Facility Security Plans Automated ID Systems (AIS) Foreign Port Assessments Enhanced Crewmember ID International Seafarer ID Transportation Security Cards Port Security Research and Development Grants Technical Amendments to the Trade Act of 2002 Performance Standards

13. School of Engineering Systems Engineering Program EMIS Department The Container Security Initiative (CSI) Bureau of Customs and Border Protection (CBP) officers are deployed to work with host nation counterparts to target all containers that pose a potential threat for terrorism. Its purpose is to protect containerized shipping from exploitation by terrorists. CBP uses intelligence to screen information on 100% of cargo entering our seaports, and all cargo that presents a risk to our country is inspected using large x-ray and radiation detection equipment.

14. School of Engineering Systems Engineering Program EMIS Department Customs-Trade Partnership Against Terrorism (C-TPAT) C-TPAT is a cooperative program between CBP and members of the international trade community in which private companies agree to improve the security of their supply chains in return for a reduced likelihood that their containers will be inspected. Over 5,000 participants

15. School of Engineering Systems Engineering Program EMIS Department International Ship and Port Security Code Risk Management Concept embodied in the ISPS –Ship requirements Ship security plans Ship security officers Company security officers Certain onboard equipment –Port facilities requirements Port security plans Port security officers Certain security equipment –In addition, ships and ports requirements Monitoring and access control Monitoring the activities of people and cargo Ensuring security communications are readily available

16. School of Engineering Systems Engineering Program EMIS Department GAO Homeland Security Testimony before Congress Preliminary Observations of Cargo Containers “A terrorist incident at a seaport, in addition to killing people and causing physical damage, could have serious economic consequences. In a 2002 simulation of a terrorist attack involving cargo containers, every seaport in the United States was shut down, resulting in a loss of $58 billion in revenue to the U.S. economy, including spoilage, loss of sales, and manufacturing slowdowns and halts in production.”

17. School of Engineering Systems Engineering Program EMIS Department U.S. Critical Infrastructure PDD-63 (May 1998) Patriot Act (October 2001) National Strategy for Homeland Security (July 2002) National Plan for Research and Development in Support of Critical Infrastructure Protection (2004) Telecommunications Information and TelecommunicationsTelecommunications Banking and FinanceFinancial ServicesBanking and Finance TransportationTransportation SectorsTransportationTransportation Systems Energy Water SystemsWater Emergency ServicesPublic HealthPublic Health and Healthcare Chemical FoodAgriculture and Food AgriculturePostal and Shipping Defense Industrial Base GovernmentEmergency Services Defense IndustryInformation Technology Key AssetsKey Resources Historic AttractionsNational Monuments and Icons National MonumentsDams IconsGovernment Facilities EventsNuclear Reactors Materials and Waste

18. School of Engineering Systems Engineering Program EMIS Department Infrastructure System Block Diagram

19. School of Engineering Systems Engineering Program EMIS Department Infrastructure - Example of Interdependencies Aluminum (Russia) Port of Tacoma Machine Shop Refinery Port of Houston Enterprise Fuel

20. School of Engineering Systems Engineering Program EMIS Department 2. Investigate the Alternatives

21. School of Engineering Systems Engineering Program EMIS Department 2 nd largest petrochem facility in the world 7600 deep draft vessel arrivals annually Over 700 vessel transits daily 40 Liquefied gas tanker movements per week Passenger cruise ships weekly #1 port for U.S. ship arrivals #1 port for U.S. foreign tonnage 53 mile Houston Ship Channel 180 designated waterfront facilities 50% U.S. gasoline refined in port Courtesy of USCG Description of the Port of Houston

22. School of Engineering Systems Engineering Program EMIS Department MARSEC One “New Normalcy” Intel & Partnering Harbor Patrol Air Surveillance MARSEC Three “Incident Imminent” Physical Control MARSEC Two “Heightened Risk” Targeted Control Maritime Security Conditions Courtesy of USCG

23. School of Engineering Systems Engineering Program EMIS Department MSO Houston- Galveston VTS Houston AIRSTA Houston Air National Guard Auxiliary Station CG small boats (Harbor Patrols) Ship Channel Patrol Boat Helicopter Vessel boardings Lightering Zone Group Galveston MSU Galveston Comms Site CCTV Radar USCG Shore Unit USCG Afloat Assets CG small boat Harbor Patrols Galveston Bay Ports Security Measures Maritime Domain Awareness - Coastal (i.e., lightering zone) - Approaches (i.e., at-sea vessel boardings) - Port (I.e., tracking of commercial vessel transits by Vessel Traffic Service) Active patrolling (boat/car/air) w/focus on highest risk petrochemical plant concentrations Courtesy of USCG

24. School of Engineering Systems Engineering Program EMIS Department Vessel Traffic Service (VTS) Vessel Traffic Service (VTS) Harbor & Shore Patrols Harbor & Shore Patrols Sea Marshals Sea Marshals Off-Shore Boardings Off-Shore Boardings Aircraft Surveillance Aircraft Surveillance Industry / Pilots – “Eyes & Ears” Industry / Pilots – “Eyes & Ears” U.S.C.G. Security Measures Courtesy of USCG

25. School of Engineering Systems Engineering Program EMIS Department Current Coverage (monitoring 31 vessels) Courtesy of USCG

26. School of Engineering Systems Engineering Program EMIS Department Antenna mounted between 150’ - 200’ Courtesy of USCG

27. School of Engineering Systems Engineering Program EMIS Department 2 AIS base stations (existing) AIS base stations on existing Petrocom- satcom from GA 301 Initial Build Out AIS base stations on existing Petrocom- satcom from HI A270 Courtesy of USCG

28. School of Engineering Systems Engineering Program EMIS Department LOOP East and West Flower Gardens Lightering Prohibited Lightering Courtesy of USCG

29. School of Engineering Systems Engineering Program EMIS Department CBP – Smart and Secure Tradelanes Operation Safe Commerce –Advanced software –RFID –Electronic seals –Sensors –Satellite communications Study by the –Port of Seattle/Tacoma –Port of LA/Long Beach –Port of NY/NJ Implemented across the globe

30. School of Engineering Systems Engineering Program EMIS Department Highway Transportation from the Port of Houston Disconnects in the Highway Infrastructure

31. School of Engineering Systems Engineering Program EMIS Department Mitigating the affects highway disconnects have on the ports through communications systems –Track the vehicles from the port via GPS Helps reduce the complexity of making deliveries Allows shippers to coordinate with customers Keeps track of sensitive cargo Highway Transportation from the Port of Houston

32. School of Engineering Systems Engineering Program EMIS Department Conclusions The system for security of the U.S. critical infrastructure and the ports requires an integrated analysis of people, processes and products over the life of the system - systems engineering.

33. School of Engineering Systems Engineering Program EMIS Department Future Plans SMU research will continue the process of applying systems engineering to analyze the interdependencies of the U.S. critical infrastructure. My research applies systems engineering principles and practices specifically to the interdependencies of container shipping and the U.S. critical infrastructure resulting a mathematical model and simulation.