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Global Maritime Security: New Horizons
CONTENTS
Acknowledgements
III Preface (Rear Admiral Harmancık)
Keynote:
3 The Dimensions of Maritime Security
Joseph Szyliowicz
Introduction
13 Joseph Szyliowicz
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Global Maritime Security: New Horizons
253 Conclusions
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Global Maritime Security: New Horizons
ACKNOWLEDGEMENTS
November 2013
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Global Maritime Security: New Horizons
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Global Maritime Security: New Horizons
PREFACE
Faruk Harmancık
Director of MARSEC COE
Maritime security defines all the activities governments and commercial and
private organizations will carry out in order to prevent and respond to and recover from
any kind of attack that may occur in the maritime domain. These activities are possible
through continuous and real-time info sharing about maritime activities between
governments and their institutions, in other words through maritime situational
awareness.
After the summit held in Lisbon in 2010, military aspect of the subject in NATO
took over with the concept of “Security through Cooperation” which is in the new Strategic
Concept. After the summit, Allied Maritime Strategy, Maritime Situational Awareness
Concept and Maritime Security Operations Concept were published respectively. Help
of the “Smart Defense” project which is a solution that will overcome the constrictions
in every country created by economic crisis and defense budget cuts, cleared the way for
multinational projects in Chicago Summit in 2012. Turkey declared Maritime Security
Centre of Excellence as a Smart Defense project in the aforementioned summit.
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Global Maritime Security: New Horizons
In order to achieve this vision 1st Maritime Security Workshop was held between
14th and 16th of November 2012 in Marmaris/Turkey. Workshop was organized in 4
panels and subjects of the panels were as follows; Maritime Situational Awareness,
Uphold Freedom of Navigation, Piracy Nexus Terrorism and Fight Proliferation of
WMD. 15 international academics and 38 observers from government, private sector
and universities participated in the workshop and shared their point of view.
I hereby thank all personnel who worked hard for the 1st Maritime Security
Workshop organized by Multinational Maritime Security Centre of Excellence.
Faruk HARMANCIK
Rear Admiral (LH)
Director of MARSEC COE
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Global Maritime Security: New Horizons
KEYNOTE
Abstract
I. Introduction
Maritime security, despite its common usage, is not an easy term to define because
it involves a wide range of concerns. These include the traditional reasons why countries
have for centuries developed naval forces—the defense of a country’s maritime interests
which includes control of the seas bordering the state, as well as the ability to project
its naval power where necessary to protect the state. In recent decades, however, the
security concerns have expanded greatly because of a new threat – terrorism – and the
enhanced threats posed by new criminal activities, including modern piracy. Hence,
maritime security now involves domains that extend far beyond traditional war fighting
and the prevention of pirate attacks and smuggling. It now involves protecting a state’s
territory and marine infrastructure on land as well as in its territorial waters from any
potentially damage that originates at sea. Such damage can result from a wide variety
of criminal activities of all sorts such as trafficking in weapons, people, and drugs as
well as environmental issues such as illegal fishing and the dumping of illegal waste.
The consequences of such acts have serious social, economic, political and human
implications. Moreover, the concern with terrorism has added new and complex
dimensions since any attempt to achieve security necessarily requires attention to a
wide range of facilities ranging from ports to containers to ships of all kinds including
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Global Maritime Security: New Horizons
cruise ships, bulk cargo ships, container ships, tankers, and small vessels. Moreover, a
very large number of private and public stakeholders are involved ranging from many
governmental departments to ship owners, flag states, port operators, shippers and
importers. Keeping nations and global supply chains safe under these conditions, is no
easy matter and represents a major challenge to international and regional organizations,
national governments and private stakeholders. Widespread appreciation of the nature
and significance of this challenge has been accompanied by recognition of the need for
a multi-dimensional conceptualization of maritime security.1
The primary causal factor responsible for these changes is to be found in the
technological developments of recent decades, especially in communications and
transportation. Together they have fueled the phenomenon commonly referred to as
globalization. Though scholars disagree when globalization started, there is general
agreement that it has accelerated greatly in recent years and has led to the creation
of global supply chains that continually grow in size and importance, albeit with
fluctuations depending on economic conditions. Hence, an overwhelming percentage
of global trade (80% by value, 90% by volume), is seaborne2 This volume of trade involves
an estimated 46,000 ships which pick up and deliver cargoes at over 4000 ports.3
The key technological innovation which greatly reduced costs and the time
needed for loading and unloading cargo, a process which essentially had not changed for
centuries, was the development of the container in the 1950’s. Since then it has become
the most common means of goods movement because of its numerous advantages –
ease of handling, reduced costs, and potentially enhanced security of the goods being
transported. Altogether over 400 million containers carry 90% of all cargo.4 Coupled
with the ability to communicate quickly and effectively, new business practices such as
“Just in Time” production emerged which transformed the ways and locations in which
goods are manufactured and moved from origin to destination.
Containerization has affected all aspects of the supply chain. Specialized ships
have been built that carry ever larger numbers of containers, the latest over 16,000
twenty foot containers. Ports too have undergone change as old ones have expanded
and new ones have emerged since manufacturing no longer has to take place close to
1 NOTE: This paper draws upon some of my previously published work, especially “Globalization and Transportation
Security” as well as excellent seminar papers written by Mr Steve Olson and Ms Courtney Schultz who also contributed
further through additional research and her critical insights. A modified version was published as Joseph Szyliowicz and Luca
Zamparini, “Maritime Security: Issues and Challenges” in Joseph S. Szyliowicz, Khalid Bichou, and Luca Zamparini, eds.,
Maritime Transport Security: Frameworks and Policy Applications (Edward Elgar, forthcoming).
2 J.P. Rodrigue, ‘Ports and Maritime Trade’, in Barney Warf (ed.) Encyclopedia of Human Geography, (London: Sage,
2010).
3 Wikipedia, “Ship”, http://en.wikipedia.org/wiki/Ship
4 Rodrigue, op.cit
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Global Maritime Security: New Horizons
the docks Some have been created explicitly to handle containers (e.g. Gioia Tauro in
Italy). Production and manufacturing have been increasingly outsourced as reduced
transportation costs have given countries with inexpensive labor a big advantage over
manufacturing in the more advanced countries. As a result, the flow of goods from
developing to advanced countries increased dramatically --between1990 and 2008, the
number of TEU containers climbed from 28.7 million to 152 million.5 The movement
of containers is not limited to the oceans. An intermodal system has emerged consisting
of trucks and railways which now move goods to and from the ports. This integrated
system has not only expanded the security frontiers significantly but has also added
numerous difficulties since additional organizations and staffs are involved.
Technology has not only created a network of integrated global intermodal supply
chains but has also created a variety of new weapons with great destructive possibilities.
Terrorists have traditionally relied on explosives and have, indeed continued to use them
in many ways such as ramming a boat loaded with them against a ship – as occurred
in the attack against the U.S.S Cole in October 2000, while it was harbored and being
refueled in a Yemeni port.
However, terrorists now have potential access to more deadly weapons. Perhaps
the most pernicious are cyber-attacks which can be launched from anywhere to
wreak havoc in many aspects of the global supply chains. Such attacks are already
widespread against both private and governmental facilities and difficult to defend
against since offensive malware, viruses and similar attack programs develop much
faster than defensive ones. For example, the Stuxnex virus, identified in 2010, had gone
undetected for months. Other deadly possibilities are now available to terrorists. The
most destructive and the one of greatest concern is an attack with a nuclear device.
Fortunately, building such a bomb is no easy matter but a “dirty bomb”, a radiation
dispersal device, which is simpler to manufacture can have equally damaging impacts.
Nor can one ignore an attack using bio-chemicals such as plague, botulism, sarin, and
anthrax, all of which are relatively easy to produce and disseminate and stockpiled by
many governments. Moreover, with many of these elements, people might remain
unaware of the attack for several days until the symptoms appeared, thus enhancing its
impact.
5 Idem
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Global Maritime Security: New Horizons
trade and economic development in many countries. All trade would likely come to
a sudden halt creating havoc as there would be a sudden increase in energy prices as
well as shortages of foodstuffs and medicines that would lead to immense suffering
for millions of people in poor countries. In financial terms alone, the cost has been
estimated at $1 trillion.
The probability of such an event has been highlighted by the unexpected discovery
of a container loaded with radioactive materials at the port of Genoa in 2010. This
container which was officially carrying copper for an Italian customer had originated in
Saudi Arabia and been trans-shipped via Gioia Tauro to Genoa. The inhabitants of the
area were, naturally, very worried but had to live with this situation for several months
before the danger was eliminated, at a cost of €800,000.
Technology has not only created appealing targets and provided terrorists with
devastating weapons, it has also created a new global context that makes it easier than
ever for terrorists to operate. Violence is, unfortunately, often the result of interactions
among people. Such interaction, the “social distance” can be a function of cultural
heterogeneity, lack of equality or of integration. Historically, social distance and physical
distance were separated due to the difficulties of travel, thus limiting the areas in which
violent acts could be carried out. It was no easy matter for a group in one part of the
world to launch an attack against one some distance away. Technology, however, has
erased physical distance so that any aggrieved group can attack its perceived oppressors
wherever they may be. Thus there are no safe havens. Donald Black has summarized the
situation as follows: “For most of human history, social geometry largely corresponded
to physical geometry…Terrorism has mostly been impossible…the aggrieved civilians
have had little or no physical access to enemy civilians. At the same time, those physically
close enough were not social distant enough. Although both the social and physical
geometry of terrorism are necessary conditions for its occurrence, then neither alone is
a sufficient condition” 6. As a result, today, distant threats pose difficult new challenges.
Historically, terrorism has not been a major concern in maritime security, apart
from piracy. A number of incidents such as the 1985 hijacking of an Italian cruise ship,
Achille Lauro, during which a 69 year old disabled American tourist was murdered, the
attack on the U.S.S. Cole in 2000, and an attack on a French tanker in the Gulf of Aden
in 2002 captured global headlines. Still, only ten terrorist attacks between 1977and 2007
have involved maritime facilities or ships7. The most sophisticated and devastating
attack occurred in 2008 when terrorists hijacked a boat and landed in Mumbai where
they attacked several locations, killing 174 people. However, German intelligence
recently uncovered an Al Qaeda plan to highjack a cruise ship and then start killing
passengers while demanding the release of prisoners8. Hijacking a ship is a pirate tactic
and raises the scepter of a link between terrorists, and pirate and other criminal groups.
6 Donald Black,), “The Geometry of Terrorism”, Social Theory, 3, 2004, p.20.
7 Rand Database of Worldwide Terrorism Incidents; http://smapp.rand.org/rwtid/search.php
8 Robertson et al., CNN, May 1, 2012
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Global Maritime Security: New Horizons
These activities are as old as mankind but, because of the technological changes
discussed above, they have been transformed from largely localized problems into
global issues whose impact cannot be compared to the situation that prevailed in earlier
eras.. Criminal organizations are no longer local or national but have evolved into the
equivalent of multinational corporations. They ship their illegal goods – human beings,
drugs, weapons, stolen goods across the globe exploiting every opportunity wherever it
may exist to enhance their profits. Thus they sell weapons to terrorist and other groups
in Africa and elsewhere and smuggle drugs into Europe and the U.S. Terrorist groups
are probably involved in such activities as a way to raise funds.
Piracy may also be an attractive way for terrorist groups to obtain resources or
even to develop a new mode of attack. Heretofore, the area around Somalia has been the
most dangerous area but significant progress has been made in reducing piracy there.
Last year, pirates succeeded in capturing 13 vessels, compared to 49 in 2010 and 28 in
2011, according to the International Maritime Organization (IMO). That success can be
explained by the European Union’s heavy naval presence, improved intelligence sharing
and measures implemented by shipping companies such as providing armed security
aboard more secure merchant vessels. The 2009 implementation of the Djibouti Code
of Conduct concerning the repression of piracy and armed robbery against ships has
also played an important role.
The main ports in the world are very attractive targets because of their role as the
main hubs of the global supply chains and the difficulties of achieving a high level of
security. Their vulnerability stems from a number of factors. First, they are normally
accessible by both land and water thus an attack could be mounted from either side
and, even, perhaps, from the air. Moreover they are accessed by passenger ships, cargo
and container vessels, trains, cars, trucks and entertain a large number of workers and
visitors. Ports also cover very large areas in the vicinity of crowded metropolitan centers
and also host storage and processing facilities for a variety of hazardous materials.
Some ports, those dealing with liquid natural gas, are potentially very attractive targets
but cannot be considered sufficiently protected against attack. Moreover, ports are
normally used for the temporary storage of a large number of containers; each of them
representing a potential threat for the port and the adjoining metropolitan centers.
Lastly, ports depend on a number of other critical infrastructures, such as information
technology and energy, to operate, thus rending them susceptible to cyber-attacks.
The goal should be to create effective resiliency, that is to create a situation where
a port can absorb an attack in a way that would enable it to quickly resume normal
operations. Given the issues discussed above, doing so represents a formidable challenge
that few ports have yet confronted effectively.
One important reason for this state of affairs is that most policies are directed
towards preventing an attack. That is evident in the policies adopted by the US, the
leading national actor in efforts to safeguard global supply chains. It has enacted the 24-
Hour advance vessel manifest rule, the Customs-Trade partnership against terrorism
(C-TPAT), and the Container Security Initiative (CSI). The first which began to operate
on February 2003 obliges carriers to present documentation 24 hours before the cargo
is loaded on any vessel departing for a U.S. port. The C-TPAT initiative represents an
effort to enroll corporations in the effort to secure supply umber certain standards are
met, the goods imported by that company flow quickly through customs.
9 www.polb.com/about/default.aspn
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Global Maritime Security: New Horizons
The CSI seeks to identify and screen high risk containers before they arrival at
a US port. To that end, the US has signed bilateral agreements that allow it to assign
US customs inspectors in 58 major foreign ports. The effectiveness of such a policy,
however, depends on the integrity, reliability, and honesty of all the key personnel at
the foreign ports but some ports are located in countries where corruption and other
criminal activities are not unknown. Of particular concern is the issue of a nuclear
weapon being smuggled in a container. The original goal was a 100% radiological
screening of inbound containers but that goal could not be met and was subsequently
abandoned10.
The problems identified above indicate the difficulties that the U.S has
encountered. The cooperation of foreign governments is a obviously essential if the
US is to develop an effective maritime security system but Janet Napolitano, the head of
the Department of Homeland Security has publicly stated that the achieved degree of
cooperation is not adequate.11
Thus, although U.S. ports, ships, and coastlines are today more secure as a result
of all the measures that have been implemented and the billions that have been spent, it
is clear that the level of maritime security retains important vulnerabilities. One expert
who recently who assessed the state of transportation security gave port security only
a D+ rating in 200612 . Though seven years have elapsed, and improvements have taken
place, there is general agreement among experts that vulnerabilities remain13.
The lack of cooperation also limits the effectiveness of the various international
programs that have been implemented to enhance maritime security. The Achille Lauro
hijacking led to the International Maritime Organization’s (IMO) adoption of various
resolutions including, in March 1988, the Convention for the Suppression of Unlawful
Acts against the Safety of Maritime Navigation (SUA), amended in 2005, which makes
it a crime to attack or endanger a ship Following the 9/11 terrorist attack, the IMO
adopted the International Ship and Port Facility Security Code (ISPS Code) in 2004
which was implemented through chapter XI-2 on Special Measures to Enhance Maritime
Security of the International Convention for the Safety of Life at Sea (SOLAS which
was adopted in 1914, following the sinking of the Titanic. The ISPS code established
enhanced security standards both for ships at sea and for port facilities. It mandated
the implementation of a Ship Security Plan (SSP), the installation of ship alarms and
Automatic Identification Systems (AIS), and the appointment of a Ship Security Officer
(SSO), a Port Facility Security Plan (PFSP),a Port Facility Security Officer (PFSO), and
a Company Security Officer (CSO) . The Convention for the Suppression of Unlawful
Acts Against the Safety of Maritime Navigation (SUA) which came into force in 1992
10 http://www.nti.org/gsn/article/napolitano-says-us-cannot-meet-cargo-screening-goal/
11 Reuters, January 7, 2011
12 Stephen Flynn, Homeland Security Report Card, Council on Foreign Relations, 25 October, 2006
13 In the case of the fundamental CSI program, for example, see http://www.securitymanagement.com/article/containing-
cargo-risk?page=0%2C2
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Global Maritime Security: New Horizons
criminalizes any attempt to attack or endanger a ship and was amended in 2005 to deal
explicitly with the transport of biochemical and nuclear weapons.
In 2005, the World Customs Organization (WCO) adopted the SAFE Framework
of Standards to Secure and Facilitate Global Trade which established minimum
standards and principles for all its members. These include the harmonization of
advance electronic cargo information, the adoption of a risk management approach
and the inspection of outbound cargo when requested by a receiving country .
Such international efforts have yielded some positive results but since each
country interprets the codes according to its particular socio-economic and political
configuration, these codes are not implemented uniformly around the world. Hence
the level of maritime security that actually exists in different countries varies to a
considerable degree, thus endangering the secure operation of the global supply chains.
V. Conclusions
Terrorists also now have a variety of targets that are more or less vulnerable,
ranging from hijacking or attacking ships at sea to attacks on ports and there is little doubt
that some pirate organizations cooperate with criminal organizations. The probability
that linkages with terrorist groups also exist cannot be totally discounted given the great
sums generated by hijacking ships and al-Qaeda’s known interest in attacking shipping.
The struggle against piracy and criminal organizations should, therefore, be viewed as
part of an anti-terrorist campaign. It too requires international cooperation in such
fields as intelligence, the deployment of naval forces, and socio-economic development
as well as the development of national naval capabilities.
Similar issues are also relevant when considering port security. The difficulties
are great – funding, volume of containers, number of private and public stakeholders,
the nature of ports, different national security standards – but there is no doubt that the
policies followed by the United States, despite some weaknesses, along with the various
international codes enacted by the IMO and the WCO have enhanced maritime security.
Still, the countries of the world continue to face an ongoing threat to the world’s supply
chains and more effective international cooperation is essential if the threat is to be
effectively minimized.
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Global Maritime Security: New Horizons
References
Black, Donald (2004), “The Geometry of Terrorism”, Social Theory, 3, 2004, 14-25.
Eggers, William (2005), Prospering in the Secure Economy, New York, Deloitte-Touche.
http://www.reuters.com/article/2011/01/06/us-security-usa-eu-napolitano-
idUSTRE70550D20110106
Papa, Paola (2013), ‘US and EU Strategies for Maritime Transport Security: A
Comparative Perspective’, Transport Policy, 28, 75-85.
Papa, Paola and Luca Zamparini (2012), ‘Security of Hazmat Transports in Italy’ in
Reniers,
Genserik and Luca Zamparini (eds.), Security Aspects of Uni- and Multi-modal Hazmat
Transportation Systems, Berlin, Wiley, pp. 203-217.
Robertson, Nick, Paul Cruickshank and Tim Lister, “Documents reveal al Qaeda’s plans
for seizing cruise ships, carnage in Europe”, May 1, 2012, CNN
Rodrigue, Jean Paul (2010), ‘Ports and Maritime Trade’, in Barney Warf (ed.)
Encyclopedia of Human Geography, Sage, London.
www.polb.com/about/default.aspn
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Global Maritime Security: New Horizons
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Global Maritime Security: New Horizons
INTRODUCTION
Joseph S. Szyliowicz
Rivers, coastlines, lakes, and seas have been critical channels for the movement
of goods and people since antiquity. Thus, although the term “maritime security” is a
recent one, naval power has been an important element since ancient times. The siege
of Troy as depicted by Homer in his famous poem, the Iliad, for example, apparently
involved a Greek fleet of almost 1200 ships and some sea battles such as the one at
Salamis between Greece and Persia in 480 BC and at Lepanto between the Ottoman
Empire and a coalition of European states in 1571 are widely regarded as an important
turning point in world history.1
1985 was another turning point. That year, four Palestinian terrorists hijacked a
cruise ship, the Achille Lauro, and murdered a wheelchair bound passenger, Mr Leon
Klinghoffer. That event transformed maritime security from an issue of concern to
states and private maritime interests solely during times of conflict to one that required
constant vigilance. Moreover, an entirely new approach was required since ships,
ports, and other maritime facilities everywhere had suddenly become potential targets.
Moreover, given the impact of globalization and the resulting growth in international
shipping, a successful attack that impacted the maritime supply chain, would have a
devastating impact on global trade. Not only would it wreak billions of dollars of damage
on the nation attacked, devastating the economy, but it would inflict considerable costs
on countries everywhere.
Until now, a navy’s principal role had remained unchanged for centuries, it
was to enable a state to successfully engage in a naval conflict with another state, with
occasional actions against pirates and smugglers. Now it was evident that the threats
to a country’s security that can emanate from the seas had multiplied and a country’s
maritime security could no longer be determined only by the strength and capability
of its naval forces. Now states confronted numerous and unprecedented challenges
that had to be confronted with a variety of new institutions and organizations.
Navies continue to play an important role in any state’s national security efforts, but
they too now had to change, to develop a range of new capabilities to deal effectively
with such novel threats as terrorism, smuggling of weapons of mass destruction, and
drug trafficking as well as an upsurge in piracy. That the Turkish navy recognizes the
importance of these developments is exemplified by its establishment of the Maritime
Security Center of Excellence (MARSEC COE) at its Aksaz naval base. This volume
contains the proceedings of the first workshop sponsored by the Center in October 2012
which brought together a distinguished group of scholars and practitioners to discuss
1 The editors wish to express their appreciation to Professors Yusuf Zorba and Hakkı Kişi for their willingness to act as
reviewers for this volume and, especially, to Mr Edgar Bates for his reviews and other contributions.
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Global Maritime Security: New Horizons
the new face of maritime security. Their contributions, as we shall see below, deal with
many of the major issues involved in the multi-faceted concept “maritime security”.
The most pressing issue, terrorism, obviously called for international action
since a successful one would obviously have global implications. Just as the RMS
Titanic’s tragic accident in 1912 had led to the adoption of the first Safety of Life at Sea
convention (SOLAS), in 1914 so the hijacking of the Achille Lauro led to international
efforts to enhance maritime security. Fortunately, though it had taken fourty four years
for an international body focused on the safety of ships and crews to be created, an
international regulatory agency, the International Maritime organization (IMO) was
now in place.
The IMO moved quickly to expand its concerns into security issues, enacting
its first security regulation, A.584(14) and, in 1986, issuing MSC/Circ.443, “Measures
to prevent unlawful acts against passengers and crews aboard ships”. Two years later
it published the Convention for the Suppression of Unlawful Acts against the Safety
of Maritime Navigation (SUA). A number of other important legal instruments
were subsequently adopted to deal with piracy, ferries, ports, and drug and chemical
smuggling.2 Despite these measures, however, maritime security was not accorded
a high priority by any country, perhaps because most terrorist attacks were directed
against aviation with only a limited number of attacks against shipping.
Another devastating terrorist attack, the one that destroyed the twin towers in
New York on September 9, 2011 however, galvanized international maritime security
efforts and within a few months, the IMO’s Assembly enacted resolution A.924(922)
which “called for a review of the existing legal and technical measures to prevent and
suppress terrorist acts against ships at sea and in port, and to improve security aboard
and ashore”. At the international conference which followed a year later, the SOLAS
convention was amended to include a new International Ship and Port Facility Security
Code (ISPS) containing mandatory and recommended requirements for governments
and shipping companies. In regards to ships, the ISPS code calls for security plans and
officers, security equipment and company security officers. Ports are expected to have
plans and officers. Both are expected to control access, monitor cargo and people and
have security communications. Many additional resolutions and circulars designed to
further enhance various aspects of maritime security have since been enacted so that an
international regime has been created. These new regulations have led to the adoption
of various operational measures that have not only enhanced the security of ships, ports,
and global supply chains but they have also served to create a new security culture in
the maritime sector, albeit one that varies depending upon a government’s maritime
priorities and perception of the nature and degree of the risks that it confronts.
The USA, for obvious reasons, has taken the lead in the effort to ensure the
security of its ports and the global supply chain. It adopted the Maritime Transport
2 Chris Trelawny, Maritime Security: Implementation of the ISPS Code” February 2005
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Global Maritime Security: New Horizons
Security Act (MTSA) in 2002 and has enacted other security measures most notably the
Container Security Initiative (CSI), the Customs-Trade Partnership against Terrorism
(C-TPAT), and the 24-hour advance vessel manifest rule, commonly known as the ‘24-
hour rule’. Many other countries primarily in the Western hemisphere have followed
the US lead and introduced a wide range of maritime security regulations which often
adapted or incorporated US security provisions. These often implement the rules and
regulations of the international maritime security regime.
The consequences of that attack included the spilling of 50,000 tons of oil being
into the coastline, an event that highlighted the need to consider environmental issues
as part of maritime security. In addition to pollution and overfishing which destroy
livelihoods, climate change which is already having global impacts can also have negative
local, national and even regional consequences. Many have argued, for example, that the
wave of piracy that has endangered shipping off the coast of Somalia is due to illegal fishing
which deprived local peoples of their livelihood. Whatever the cause, the hijacking of ships
at sea, whether passenger or cargo, whether by pirates seeking loot or terrorists seeking
to advance a political agenda remains a significant maritime security issue. It is easy to
imagine, for example, a high-jacked vessel loaded with dangerous chemicals exploding in
a port.
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Global Maritime Security: New Horizons
This ability to use high tech equipment raises the possibility that terrorists can
utilize a new and powerful weapon – the keyboard. Global supply chains are highly
dependent on the transmission of information of all sorts. A successful cyber-attack
could cripple communication systems or transmit false data, thus halting global trade.
And, the tragic reality is that cyber-attacks are now a common place occurrence and
difficult to defend against. Nor can one overlook the possibility of other innovative
terrorist initiatives -- a mine laying operation for example or even the development of
an underwater attack -- after all, drug cartels are known to be using submarines with
low profiles and low radar reflectivity in their smuggling operations.
Technology, however, has often been called a two edged sword and in regards to
maritime security powerful efforts have been made to develop new tools to enhance
security. For example, harbor surveillance systems have been developed and the US
has created (and continues to refine) a Coastal Surveillance System (CSS) that provides
real time information about the kinds of vessels that are operating off the coasts and in
ports and waterways from AIS and radar sources to stakeholders at all levels.
Such systems are not only important tools in the fight against terrorism but
also in the struggle against criminal activities. This struggle too has been complicated
by globalization which has led to the internationalization of criminal organizations.
National boundaries seldom prove a barrier to their operations which encompass
activities that range widely and include smuggling drugs, weapons of all sorts, and
human beings. Human trafficking is often spurred by domestic turmoil and creates
difficult humanitarian challenges as well as security ones since persons with criminal or
terrorist objectives can easily mingle among the refugees. Such problems are especially
serious for advanced countries with large coastal areas.
Moreover, there is increasing concern about the interrelationships between
criminal and terrorist groups. These used to be separate as crime bosses were concerned
primarily with profits not with political ideology but this separation is widely believed
to be shrinking as terrorist groups engage in criminal activities in order to raise funds
for their operations or to smuggle their personnel and weapons and do so cooperatively
with established criminal groups.
Despite all the efforts at developing and implementing policies and programs
designed to deal with such issues and to safeguard ports and ships, there is little doubt
that, though much has been achieved, serious problems remain due to the plethora of
actors – national governments and their often diverse security organizations, the wide
range of private sector interests ranging from shippers to private security firms to port
operators to ship owners, and the difficulties in establishing and enforcing appropriate
standards internationally. Such issues as well as the ones discussed above have, not
surprisingly attracted the attention of scholars, practitioners and policy analysts
concerned with the theoretical, empirical, and policy dimensions involved. The
MARSEC COE workshop was structured so as to deal with the many issues discussed
above and this volume presents the papers according to that schedule.
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Global Maritime Security: New Horizons
Rear Admiral Faruk Harmancik, the COE Director, opened the proceedings. He
presented the new challenges that must be confronted if maritime security is to prevail
and the background that led to the creation of MARSEC-COE. Its mission is to help
deal not only with terrorism but with all the other security issues as well so as to help
promote global peace and stability, goals based on principles established by Mustafa
Kemal Ataturk, the founder of the Turkish Republic.
The first panel was devoted to “Maritime Domain Awareness (MDA) /Maritime
Situational Awareness (MSA)” and chaired by Professor Yusuf Zorba. If such awareness
is to be achieved, cooperation among different organizations is clearly essential and
Mr Brian Wilson’s presentation, “Maritime Inter-Agency Co-operation” emphasized
the challenges that confront those seeking to create a secure maritime space given the
overlapping national authorities, gaps in jurisdiction, and the potential involvement of
multiple government agencies. He noted that dealing with Somali piracy had required
establishing partnerships diplomatically and in law enforcement channels. Such
cooperative arrangements are also required when dealing with other illicit activities
across the globe but doing so requires overcoming significant obstacles.
Education must be at the core of any new approach because human resources are
the weak point of supply chains. Statistics show that the majority of cargo crime, about
80%, is perpetrated with the support of insiders and scholars have claimed that mistakes
determined by scarce training of personnel have led to accidents and security incidents.
To deal with this problem, Piri Reis University undertook a detailed analysis of the
weaknesses of the existing system including the ISPS code. It found that although it
has led to improved security, it contains gaps and bottlenecks, is interpreted differently
by various public and private actors and thus has not provided the desired level of
port and ship security. The most effective way to overcome these gaps and problems is
through training and education. Accordingly Piri Reis University has developed and
is implementing the Module Enhanced Training Programme for European Security
Personnel (METPROM).
A group of practitioners and scholars then addressed the technical issues involved
in Maritime Situation Awareness. Allen Hjelmfelt, Laurent Etienne, Mélanie Fournier,
and Ronald Pelot in their “ Maritime Traffic Analysis for Coastal Security and Safety “
pointed out that positions sensors are being more widely used and monitoring coverage
extended thanks to satellite tracking. These sensors generate real time data about ships
movements and behaviors. Maritime Situation Awareness relies on the quality and
quantity of the data and collaborative networks have been created between countries
in order to share their data feeds. Such data need to be correlated with other sensors
that are able to detect suspicious vessels. Sometimes, the amount of traffic data is too
big to be analyzed by human operator. Moreover, all these data sources have different
characteristics which raise technical and research issues if they are to be fused so as to
generate a real time Maritime Situation Picture. Data mining tools can be combined
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Global Maritime Security: New Horizons
with expert knowledge to detect and highlight a subset of potential threats for further
investigation by traffic monitoring operators. The sharing, combination, and analysis
of all these different data sources lead to scientific problems that have yet to be solved.
Thus different and complex problematic and process issues are involved and need to be
resolved if Global Maritime Situation Awareness is to be achieved.
The next speaker, Mr Edgar Bates, also focused on this technology, though from
a socio-cultural and political viewpoint. He emphasized in his presentation, “Africa –
Crucible for Maritime Domain Awareness” that it is critically positioned at the nexus
of the technological and cultural implications of networking. Thus, though there is
an impetus for data sharing across government and non-governmental organizations
and the general goodwill for building maritime partnerships, the development of
information sharing environments confronts serious difficulties. Both at national
level and at the regional level, authorities responsible for defense, border control,
customs, marine pollution, fisheries control, maritime safety and security, vessel
traffic management, accident and disaster response, search and rescue as well as law
enforcement are collecting information for their own purposes. Using the Maritime
Domain Awareness Capability Maturity Model to analyze the situation in Africa, Bates
found that the determinants of trust, globalization, networking and economic wealth
did not completely explain why countries achieve a more secure maritime environment,
because there are other factors that are more difficult to capture in a scientific and
analytic fashion, like the degree of national will. Thus, while the technological means
may exist, more research that clarifies such factors is desirable. Still, there is no doubt
that information sharing standards, agreements, and policies are required if the cultural,
organizational and legal hurdles that support these well recognized silos of information
are to be overcome and an effective system of maritime domain awareness established.
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Global Maritime Security: New Horizons
The fourth speaker, Asst.Prof.Dr. Yusuf Zorba presented a paper entitled “Safety
and Security Management Implementation for Handling of Class 1 Type Dangerous
Cargoes at Ports” which he co-authored with Mr Mehmet İnanır. The purpose of the
study is to examine safety management systems at ports handling dangerous cargoes ,
to show the seriousness of the situation in terms of security and to increase awareness
of danger of carriage of hazardous materials. A significant portion of the goods that
are transported by sea consist of explosive materials which are increasingly utilized in
a great variety of industrial fields. Accordingly the issue of safety in the handling of
dangerous goods at ports has become an important issue of debates and regulations
because of their destructive potential for people and the environment.
This study focused on the relationship between the concepts of safety and security
and culture, by estimating, given the probability of accidental events for Class 1 type of
dangerous cargoes and the results and impacts that may occur around a port, using the
ASAP-X excel that are also used by NATO. The most fundamental point that emerges is
that in order to diminish a major accident with devastating consequences, it is necessary
to compose and develop a control mechanism and to provide good education and
training to administrators and workers. Creating a culture that promotes safety also
benefits port security.
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Global Maritime Security: New Horizons
The third panel was entitled “Political Measures & Legal Challenges Against
Sea-Based Criminal Activities”, was chaired by Mr. Christopher Ledger. His paper,
entitled “The Case for a More Systemically Resilient Approach”, analyzes the impact
of piracy and maritime crime on the coastal nations and their global implications. The
major areas of concern are those where large new deposits of oil have been discovered.
These resources could not only promote development in poor countries which possess
significant socio-economic and political weaknesses but change the strategic significance
of various maritime areas. However, for their potential to be realized, maritime crime
and piracy must be brought under control. The littoral countries have to be helped to
develop the capability to police their marine infrastructures and to protect their coast
lines to at least the 12 nm limit. In this effort the focus should not be, as it has been
heretofore, on the deployment of expensive warships or the provision of inappropriate
maritime assets but on the development of skills to operate and maintain appropriate
security technologies. The maritime shipping community, including the flag statey s,
is an important actor who has not established adequate rules and standards and should
from now on be held accountable if it fails to play a more positive role in combatting
piracy and crime.
The final paper by Mr. Abdülkadir Muhammed Nur was entitled “Anti-Piracy:
Land Based Soft Power Solutions”. It discussed the effectiveness of anti-piracy policies
in a specific case, that of Somalia, which had stimulated an international response. He
pointed out that the offshore anti-piracy maritime mission in Somalia involved immense
financial and human costs, yet had become in-effective and had only slightly reduced
the piracy attacks offshore Somalia. Although tackling piracy in-land does not receive
much attention, it definitely represents an effective way to tackle piracy as scholars and
experts have noted. Some of the billions spent on the offshore anti-piracy maritime
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Global Maritime Security: New Horizons
The last panel, the fourth, chaired by Professor Mustafa Kibaroglu, was éntitled
“The Fight Against Proliferation of WMDs” in “Nuclear Terrorism and Maritime
Security”, Dr. Şebnem Udum discussed the risks at and through the sea which have
remained understudied. Her analysis of the relationship between maritime security
and nuclear terrorism demonstrated the place and the significance of sea in nuclear
terrorist attack scenarios, pointing out that taking advantage of the vulnerabilities
of the maritime domain in order to carry out a terrorist attack (or more specifically
nuclear terrorism at sea) and threats to maritime security are two different but related
issues. In the first case, terrorists exploit the vulnerabilities of the maritime domain,
such as the lack of sufficient controls for cargo in order to attack the state. The second
is designed, to paralyze trade, probably with serious environmental consequences.
Though many scenarios can be anticipated, a nuclear attack confronts many difficulties.
Still, though the probability is low, it remains a scenario that, despite various national
and international projects, agreements and resolutions requires the international
community to strengthen the legal and other safeguards that are already in place.
The final paper in the workshop was delivered by CDR Sümer Kayser who discussed
“Turkey’s Contribution to Maritime Security and the Naval WMD Response Center”.
He noted that Turkey is situated in a region where the danger of WMD proliferation
and utilization is very high. Accordingly, Turkey monitors regional developments very
carefully and seeks to work collaboratively with other nations to diminish the danger.
These efforts include Turkey’s participation in the international Proliferation Security
Initiative (PSI) and its hosting of the PSI’s exercise in 2006 which enabled the large
number of countries that participated to improve their relevant skills and capabilities.
Turkey also established, in 2010, the Naval WMD Response Center which has expertise
in such areas as boarding operations, weapons disposal, and medical countermeasures.
It is a stakeholder in MARSEC COE since the latter seeks to mitigate the problems
caused by such factors as different national perspectives and lack of coordination by
working collaboratively with the world’s navies.
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Global Maritime Security: New Horizons
relationship between safety and security, the promise of technology and the barriers to
its effective use, the relationship between piracy and terrorism, how best to deal with
the WMD threat, processes of national and international decision making in regards
to maritime security, differences in the substance of these policies and the need to
harmonize and strengthen many areas. Thus though significant progress has been
achieved in enhancing maritime security in recent years, much remains to be done.
Hopefully this conference and, indeed all the work sponsored by MARSEC-COE will
contribute to the dawn of an era when people and goods can travel on safe and secure
oceans, free of criminal activities and pollution. This optimistic prospect and the issues
mentioned above are discussed in detail in the conclusion to this volume.
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Global Maritime Security: New Horizons
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Global Maritime Security: New Horizons
Abstract
Illicit activity unfolds daily on the oceans, a vast operating space with overlapping
national authorities, gaps in jurisdiction, and the potential involvement of multiple
government agencies. Responding to security threats in this environment poses
considerable challenges. Nowhere was this more evident than in the response to
Somali piracy, which underscored the necessity of collaboration among diplomatic
and law enforcement channels. This sort of partnering is equally valuable in addressing
maritime threats that also include weapons smuggling, drug traffickers, and illegal
fishing activities, among others, occurring globally.
I. Introduction
Current maritime threats—from piracy in the Gulf of Guinea and the Gulf of Aden,
to weapons smuggling, oil poaching, drug trafficking, and illegal fishing—highlight
increasingly lethal, complex and transnational security challenges. Collaboration
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Global Maritime Security: New Horizons
is particularly essential because illicit activity occurs in a vast operating space with
overlapping national authorities, gaps in jurisdiction, and the involvement of multiple
organizations within a government.
While the onus of resolving maritime threats traditionally has rested with naval
or coast guard assets, the response spectrum now extends into diplomatic, investigative
and judicial venues. The intersection of multiple agencies, each potentially possessing a
separate chain of command, operating procedures and authorities, poses considerable
coordination and governance challenges.
1 Andrea Baumann, Center for Security Studies (CSS); Whole of Government: Integration and Demarcation, No. 129,
March 2013, available at: http://www.css.ethz.ch/publications/DetailansichtPubDB_EN?rec_id=2441. “There is of yet no
internationally agreed standard model for WGAs (whole of government approaches). One would search in vain for a uniform
definition of such integrated approaches. In principle, WGAs aim to improve coordination within a given government. In
addition, however, states sometimes also aspire to coordinate their activities with those of other state or non-state actors, as a
coherent overall strategy at the governmental level is often seen as being necessary, but not sufficient. This is generally referred
to as a “whole of system” approach.”
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Global Maritime Security: New Horizons
Because commerce, and specifically, the maritime industry is globally integrated, illicit
activity in one geographic area or disruption to sea lines of communication frequently
has regional and global implications.
Criminal and terrorist exploitation of the maritime domain has stoked considerable
action at the United Nations and at the International Maritime Organization, among
other venues. Such efforts have allowed states to respond more effectively, but strategic
diplomacy does not address which agencies within a government may be involved or
how they will be integrated. Those decisions occur at the national level.
A head of state may certainly direct the desired national outcome and specific
courses of action. In those cases, coordination is not an issue. However, because of the
volume of issues, one person cannot address every matter that unfolds in the maritime
domain, such as whether to board a ship, what action to take regarding a dosimeter
that is registering positive, how detainees will be transported to the prosecuting state or
the details of public affairs guidance. When there is time for a coordinated response,
someone must decide which agencies need to be involved and when more senior-level
review is appropriate.
This doesn’t work well (or consistently) on an ad-hoc basis. Personnel in one
agency may not know whom to contact in other agencies, nor necessarily be empowered.
Information discarded by one agency may be the critical piece for another to positively
identify a threat. Even with information flowing effectively, there may be uncertainty
regarding who needs to be involved, what is unfolding and what the next steps are. An
effective response requires formal agency integration.
The MOTR plan is certainly not the only construct that seeks to integrate
government agencies. In India, an Inter-Ministerial Group (IMG) was established to
ensure a whole-of-government response to counter piracy operations or any maritime
crisis. The IMG is chaired by the Additional Secretary, Shipping and includes Joint
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Global Maritime Security: New Horizons
Another multinational construct is The Contact Group on Piracy off the Somalia
Coast (Contact Group), established in 2009 following United Nations Security Council
Resolution 1851. The Contact Group has facilitated discussions and coordination with
diplomats, the military, lawyers, international organizations and the shipping industry.
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Global Maritime Security: New Horizons
annual International Drug Enforcement Conference, led by the U.S. Drug Enforcement
Administration, significantly contributes to cooperation.
The process detailed in the MOTR Plan guides the U.S. Government’s coordinated
response to migrants, drug smugglers, fishing incursions and piracy, among other
threats. It brings together national-level representatives and at times, those at the tactical
level through e-mail, phone calls and secure video teleconferences. Coordination is
mandated, and the plan is used on a near daily basis. Those are not the only contributing
factors to its effectiveness, though.
Rather than allowing agencies to argue over who should take the lead in the
response to a threat that could involve several agencies, the MOTR process pre-
4 See: http://www.state.gov/t/isn/c27732.htm
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Global Maritime Security: New Horizons
designates who will lead and who will provide support. In the infrequent cases when
discussions reach an impasse, the issue goes to the National Security Staff for resolution.
MOTR discussions often center on the response to a threat, such as the boarding
of a ship or the disposition of people, cargo or the vessel following an interdiction.
Agency authorities, capabilities and responsibilities and courses of action are addressed,
culminating in a decision regarding the desired national outcome. Each coordination
activity seeks to generate an agreed upon summary, as well as identify uncertainties and
ambiguities, assigning their resolution to participants. The response to a threat could
be resolved in one coordination activity or could span several weeks. The facilitator is
responsible for tracking follow-through action on action items.
Critical to any crisis response is the timely flow of information and the effective
assessment of data. An examination of crisis management by Arjen Boin, et al., The
Politics of Crisis Management, Public Leadership Under Pressure, sagely noted “Because
of large organizations and ingrained bureaucracies...information gets filtered, watered
down, distorted, polished, or squeezed under the table for reasons wholly unrelated to
the situation at hand.”
A plan works best when used frequently. The MOTR plan is used almost daily.
In the past year, approximately 335 threats were addressed through the MOTR process.
Awareness, familiarity and training contribute to effectiveness. Dozens of briefings
on MOTR occur annually to senior department officials and command centers. Case
studies are discussed and process questions are addressed at each briefing. An exercise
(referred to as a “wargame”) is held annually with approximately 50 representatives to
discuss lessons learned, agency authorities and hypothetical scenarios.
5 Frederick M. Kaiser, Interagency Collaborative Arrangements and Activities: Types, Rationales, Considerations;
Congressional Research Service, May 31, 2011; Available at: http://www.fas.org/sgp/crs/misc/R41803.pdf.
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Global Maritime Security: New Horizons
standard solution for this dilemma. A differentiated application of the WGA therefore
suggests itself, where the intensity of cooperation and the degree of cooperation may
vary according to mode of operation, subject area, and level of implementation.”6
Leadership:
• If leadership will be shared between one or more agencies, have roles and
responsibilities been clearly identified and agreed upon?
Participants:
• Have all relevant participants been included?
• Do the participants have:
• Full knowledge of the relevant resources in their agency?
• The ability to commit these resources?
• The ability to regularly attend activities of the collaborative mechanism?
• The appropriate knowledge, skills, and abilities to contribute?
6 Andrea Baumann, Center for Security Studies (CSS); Whole of Government: Integration and Demarcation, No. 129,
March 2013, available at: http://www.css.ethz.ch/publications/DetailansichtPubDB_EN?rec_id=2441.
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Global Maritime Security: New Horizons
Resources:
V. Conclusion
With any process, it’s important to continually assess what benefit it provides,
what gaps exist and what more is needed. Important lessons can be gleaned from the
coordinated responses to piracy, drug trafficking and fishing violations, among others,
including the need for head of state guidance, frequent training and the development of
implementing, operational-level guidance.
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Global Maritime Security: New Horizons
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Global Maritime Security: New Horizons
Abstract
Key words: ISPS Code, port operations, port security, private security guards
I. Introduction
Maritime transport is an important enabler of the world trade and plays a crucial
role in the global system. Today around 90% of the world trade is carried by this
sector. Fuelled by strong growth in container and dry bulk transportation, world seaborne
trade grew by 4 per cent in 2011, taking the total volume of goods loaded worldwide
to 8.7 billion tons. Besides, world fleet reached more than 1.5 billion deadweight tons
in January 2012 (UNCTAD, 2012). There are over 50,000 merchant ships trading
internationally, transporting every kind of cargo. The world fleet is registered in over
150 nations and manned by over a million seafarers of virtually every nationality (ICS-
Shipping, 2013). Maritime transport is also a significant exportable service in many
countries and in the process contributes directly to national Gross Domestic Product
(GDP) (Yarbrough, 2006). Seaborne trade continues to expand, bringing benefits for
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Global Maritime Security: New Horizons
consumers across the world through competitive freight costs. Without shipping the
import and export of goods on the scale necessary for the modern world would not
be possible. Considering the role of maritime trade in the global economy, an attack
or any threat can affect adversely a port for and within a few days could destroy the
regional economy. Therefore, maritime transportation needs to be protected during all
transportation process. This process begins and ends in the ports. Ports are complex,
multiple-stakeholders environments representing the entrance point of intercontinental
sea shipments into a country. In this places flows of goods converge and consequently
international shipping, logistics, trading communities interact with each other’s as
well as with regulatory bodies. For this reason, port facilities are a key infrastructure
of international supply chains, national logistics systems and directly responsible for a
country’s economy and welfare (Altiok, 2011). Therefore, it is of outmost importance to
ensure that operations are kept safe, secure and efficient at the same time.
Port facilities are part of the European Critical Infrastructure and therefore
security needs to be continuously monitored and improved. Typical threats in ports
include theft, sabotage and smuggling of illicit goods (Altiok, 2011; Kothari, 2008).
Other threats that appear are drug smuggling and stowaways, especially when shipments
originate from countries where security standards are lower and could be managed by
simply infiltrating or bribing the local security officers (Medalia, 2004). Terrorism is also
an important threat, since port facilities are located close to residential areas, terrorists
could detonate a nuclear device smuggled in a ship docked at a port. A potential
explosion could cause extensive damage and severe environmental consequences
(Averill, 2010; Medalia, 2004). Likewise, experts believe that a loaded LPG (Liquefied
Petroleum Gas) tanker could be hijacked and detonated in proximity of an export or
import port (Averill, 2010). These risks should not be seen as far from reality, especially
after the terror attacks in New York; even though airplanes were used in the attacks it is
likely that ships could be used for the same scope.
Previous studies have pointed out the importance of acting on the infrastructure
layers of supply chains to ensure higher security; including all transport modes, facilities,
and human resources involved in the movement of goods from the point of origin to
final destination. In particular, it has been highlighted that human resources, including
managers and operators, are the real weak point of supply chains. Statistics show that the
majority of cargo crime, about 80%, is perpetrated with the support of insiders, hence
people working in the supply chain. At the same time, it has been claimed that mistakes
determined by scarce training of personnel have led to security incidents. For instance,
Darbra and Casal (2004) highlight the importance of human resources in accidents
taking place in ports. By analysing a total of 471 accidents in ports in 95 countries the
authors find that about 14% are sabotage accidents, hence unlawful actions.
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Global Maritime Security: New Horizons
noticeable threats. “The maritime realms of ports are key intersections of insecurity
and security (Chalk, 2008). The broadly conceptualized “maritime terrorism” in both
literature and legislation covers insecurities such as “human causalities, economic losses
environmental damage or other negative impacts, alone or in combination, of minor
or major consequences” (Parfomak and Frittelli, 2007). Since maritime transportation
generates the backbone of the world trade, effective and applicable security measures
are needed to ensure that the international transport system is protected from the acts
of above-mentioned threats. As an effect, a more unified approach of security has been
laid upon ports by the International Maritime Organization (IMO) to make sure that
ports comply with international treaties and regulations (Wenning et. al.2007).
The introduction of the ISPS Code may have significantly reduced maritime
attacks by terrorists since 1 July 2004 (Timlen, 2007). However, the ISPS Code is not
a panacea against all maritime threats Goh, R., (2006). Recent security breaches and
incidents have shown that ISPS Code did not provide desired level of security for neither
ships nor port facilities. Although these regulations have improved maritime security,
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Global Maritime Security: New Horizons
gaps and regulatory bottlenecks remain (Ferriere et.al. 2005). Mazaheri and Ekwall,2009
summarized the disadvantages of the ISPS Code as higher operative expenses and a high
implementation cost and also ISPS Code Part B may lead to problems due to existence of
discordance. The improper implementation of the ISPS Code in some countries created
some difficulties to the seafarers’, such as refusal of shore leave, identity cards, piracy
procedures and stowaway prevention (Balbaa, 2005). Several authors (Griffett, 2005;
Stevenson, 2005) point out the effect that the ISPS Code has on seafarers’ lives and it
may restrict human rights and limit access to the ship. Ran (2005) and Stevenson (2005)
believe that different interpretations of the code in different countries are one of the
ISPS Code’s weaknesses. Ran (2005) also points out different risk profiles and standards
applied by different nations and applicability of the code to different vessel types.
Effective implementation in port facilities in different countries varies significantly,
which causes numerous difficulties. These difficulties are mostly caused by limited
economic potentials, differing positions on the status of national and international
maritime security system, and finally, different understanding what mitigation measures
should be accepted as appropriate in different countries (Zec et. Al. 2010).
Additionally, PRU which was founded by the support and sponsorship of the
whole maritime sector, namely Turkish Chamber of Shipping (TCS) through Turkish
Maritime Education Foundation (TUDEV) will disseminate the project results to the
whole Turkish Shipping Industry.
The literature review was complemented by analysis of the existing data with
analytical methods, additional data collection with a comprehensive questionnaire,
which was distributed to key ports and further interviews and brainstorming sessions
with various security stakeholders in seaports and an airport. The literature review and
interviews will help explore what is required in terms of training for different ranks in
overall terms. The studies and investigations include comparisons which will be made
to port facilities and security training in other industries and outside of Europe and
challenges in the harmonization of training will be identified.
The methodology adopted for the development of the first ideas towards the
development of the innovative training environment concept involved a comprehensive
literature review complemented by interview data from a Port Facility Security Officer, an
Airport Security Manager and certified security trainers. The comprehensive literature
search was undertaken with the help of the Meta library tool that simultaneously
searches several databases to identify pertinent literature. The literature review focused
on security training in other modes of transport like air, road and rail transport. The
review also focussed on the potential integrated use of simulation technologies as a
pedagogical tool for teaching, training and learning. Securing modes of transport is
imperative given their vulnerability exemplified by the 9/11 attack on the United States
using aircraft, the bombing of London trains in 2005 and Madrid and Moscow in 2004
and the terrorist attack on rail commuters at the train station in 2008 in Mumbai.
Merchant shipping is also vulnerable to the threat of abuse by terrorists (smuggling
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Global Maritime Security: New Horizons
arms and ammunition to fight the Sri Lankan government as in the case of LTTE). This
review focused on diverse transport modes – air, rail, road and ships to learn from and
build upon security training already existing in those modes.
The present analysis of the legal environment for private security services across
Europe is based on CoESS (2011). The CoESS (2011) report comprehensively maps
the diversity in the legal terrain for 34 European countries1. WMU has identified the
following pertinent sections for the purposes of the METPROM project. What follows
is the analysis of the identified sections and the implications for METPROM (Baldauf
and Kataria, 2013).
• The average age for entry to the security profession is 18 and for operational
managers is 19. The entry standards given in the IMO model course 3.24
is, ‘it is assumed that those attending the course will be persons employed
(or to be employed) by a port facility operator and are likely to be assigned
specific security duties in connection with the Port Facility Security Plan’.
The individual port facility requirements like citizenship, character checks,
1 ‘27 EU member states and seven additional European countries: Bosnia & Herzegovina, Croatia, Macedonia, Norway,
Serbia, Switzerland and Turkey’
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Global Maritime Security: New Horizons
• Training hours – The number of training hours for the 34 European countries
is wide ranging from 0 to 1800 (Figure 4).
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Global Maritime Security: New Horizons
• The issuance of COC – the COC is issued upon the successful completion of
training in 82% of the respondent European countries. The standardisation/
harmonisation of the certificate is an issue for METPROM and will be
discussed in subsequent avenues.
• Training for operational managers is not mandatory for 56% of the respondent
countries. By including them in the target group definition, METPROM is
aiming to address a wide gap in training provision and seek to harmonise
training across Europe.
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Global Maritime Security: New Horizons
The legal analysis will be used as an input for the content development plan which
will serve as the foundations for the development of course content and evaluation. From
the results, it becomes obvious that the legal framework in Europe varies significantly
from country to country.
• There is a large gap of 56% in the mandatory training provision for operational
managers across Europe.
• The COC is not issued in 18% of the European countries post successful
completion of training.
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Global Maritime Security: New Horizons
In the second part of the research a comprehensive analysis of the ISPS Code was
carried out by using Pareto and Ishikawa (Fish Bone) analysis techniques. “Security
Breaches and Incidents for Ships and Ports” is determined as main problem in fish head
and through brainstorming sessions; Risk Management Process, Security Awareness,
Standardization, Monitoring and Surveillance Process, Training and Vessel Types are
determined as the causes affecting main problem during implementation procedure of
the ISPS Code. Figure 8 shows the fishbone diagram, which represents the main causes
for all six aspects of analysis.
Risk Management Process: Risk profiles vary regionally. The problem begins at
that point. Threats consist of internal and external effects and directly related to social
and political variations. The port managers and security personnel must be wise and
well educated to evaluate the possible risks in a correct way by paying attention both
internal and external effects. When the topic is evaluated from the context of ISPS
implementations, it is noticed that ISPS Code is only guidance to assess these threats
and take suitable measures against any of them. ISPS Code determines the frame for
assessing and managing risks changing all around the world. Therefore, standard
applications for all nations, which are in different regions, are suggested by ISPS. In brief;
different threats but standard applications. For example, the Port of Rotterdam focuses
primarily on the dangers of terrorist attacks on containers or mass goods (such as oil),
while the Port of New Orleans has faced natural disaster (e.g. hurricane Katrina) and its
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Global Maritime Security: New Horizons
consequences (Wenning et.al. 2007). At that point, countries feeling their selves under
threat produce their own solutions. Australia, Canada, Sweden and New Zealand, for
example, have legislated new measures to strengthen their cargo security programmes
in line with American security standards, for example the Container Security Initiative
(Peterson and Treat, 2008). On a European level, American security standards are
integrated by the EU’s Authorized Economic Operator (AEO), almost entirely similar to
the American Customs-Trade Partnership Against Terrorism (C-TPAT) (Delegation of
EU to US, 2013). As a result, it is worth to mention that threats vary both internally and
externally according to regions but applications are standard in all regions. Therefore,
the duties of contracting governments begin at that point. To access and manage the
possible risks, the need for the well educated and experienced security personnel is
obvious. Governments also have to assess and manage risks with balancing financial
limitations. Financial limitations prevent to make a risk management and security in
a successful way. However, every government must meet up to the expectations of the
IMO, and ports have thus become barometers of security, to be subject to unannounced
inspections by Port State Control and to Port Facility Security Assessments (George
and Whatford, 2007). Nevertheless, vague regulations and suggestions about risk
management compel governments to execute their own initiatives. Hence, the
applications can be different in the same region and states produce their own solutions
to security breaches.
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Global Maritime Security: New Horizons
devices used in ports and physical security standards. These non-standard applications
induce some vague areas, especially in port security management and physical security
issues such as the number of security personnel. In some ports, port managers try to
keep the number of security personnel in limited numbers due to financial restrictions.
Therefore, surveillance and controlling the port area become difficult. When the issue
is evaluated from this perspective, the need of setting new standard emerges about the
standardization of security personnel depending on the traffic intensity and area size
of the port. The vague areas on physical security issues are not limited with security
personnel numbers. Fencing is another problem. Designated authorities and also ports
experiences problems regarding fences type. The same problem arises concerning the
technological devices. The importance of technology on maintaining security is well
known. There are some initiatives that mega ports put in force such as CSI and C-TPAT
but no mandatory devices mentioned in ISPS Code like CCTV, fingerprint, X-ray scan,
facial recognition, underwater security devices etc. As a result, there is a need to review
the use of technological devices and physical security standards by evaluating the
potential threats versus cost analysis.
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Global Maritime Security: New Horizons
using devices like fingerprint, face recognition and CCTV system. An access control
deficiency was experienced in the case of Kartepe Ferry’s hijacking. The passenger
vessels transport millions of people in a day so the access points of ferry’s ports are
easy to enter for professional terrorists.
Vessel Types: Another potential threat was identified as small crafts and fishing
vessels. The problem at this point is difficulty in detection of the small vessels. Small
crafts packed with explosives are very effective in their attacks, as demonstrated in the
attacks on the USS Cole and the MV Limburg (Murphy, 2005). Small crafts are possibly
threats for ports due to their size and high speed. The results of an attack by a speed
craft filled with bombs to a port which stationed in the metropolis can be very painful.
These vessels are used in Indian Ocean and Aden for piracy attacks as well. Their
negative impact is proved several times. Therefore, fishing vessels are also important
in this type. This was clearly demonstrated in the Mumbai attack when the attackers
arrived in a hijacked fishing trawler (Goh, 2006). Small vessels also can be used for
smuggling. This is the other problematic area. As a result, we can mention that small
vessels are a sub cause of “vessel type” problem and possible threats for ports. In this
context, governments must respond appropriately to any illegal activities, which can be
done by non-ISPS vessels.
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Global Maritime Security: New Horizons
why lack of standard curriculum is detected as one of the sub-causes. All countries
set their course programme according to their risk assessment and experiences.
Hence, the ISPS Code’s training curriculum varies regionally. Deficiencies in training
are not limited with curriculum. The instructors’ experiences are also important. To
take the control of security breaches, well educated instructors are in need. That’s
why; universally accepted certificate programme can be put into force for instructors.
Thus, they will have an internationally recognized certification and will be in
satisfied information level all over the world. However, education problem goes on
with contracting government’s personnel. Contracting governments are not only a
signature station. They are responsible for implementing ISPS Code and they have
to realize the significance of this code. For regular implementation, governments’
personnel (designated authorities) have to be included in the course programme.
As a part of project research, Pareto charts were prepared for all the criteria
to identify major causes in implementation of the ISPS Code. After the causes were
found via Fishbone Diagram, a questionnaire was prepared in order to identify major
causes. In the questionnaire; academicians, port authorities and ship masters were
asked about the evaluation of problems regarding quality of the ISPS Code such as
Risk Management, Security Awareness, Standardization, Vessel Type, Training and
Monitoring & Surveillance Process. In the questionnaire the participants graded the
causes 1 to 6 point according to importance level. The most important cause point
was 6. It decreased one by one up to one that was defined as most trivial cause. The
results of the questionnaire regarding the importance level of causes of deficiencies
are shown in the Figure 9.
The percentages and the cumulative percentage, which would be helpful to find
the breakpoints, was calculated and indicated in the Table 1 below.
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Global Maritime Security: New Horizons
As seen in the diagrams, there are 2 break points in the cumulative percentage
line. These points occur when the scope of the line begins to flatten out. The factors
under the steepest part of the curve are the most important. Hence, training has the
most significance level compared to other causes. Security awareness, risk management
and standardization have approximately same importance level and more important
when compared to the monitoring & surveillance process and vessel types. According
to break points; monitoring & surveillance process and vessel types have the lesser
significance level compared to the causes in left side which is illustrated in figure 10 and
figure 11 respectively.
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Global Maritime Security: New Horizons
As the last leg of the need analysis, a more comprehensive questionnaire based on
the previous research was developed and distributed to 40 ports. Although 32 of them
have submitted their answers, replies to some key questions were not satisfying enough
to establish a comprehensive database especially for incidents.
a. All 32 ports employ private security company staff, 14 (44%) of which have
armed security:
b. Where/How did facility personnel with security duties receive initial ISPS
Code training?« is answered as »on the facility« by 5 ports (16%) and as »by PFSO« by
1 port (3%), as »by private company« by 1 port (3%):
c. Has a detailed description of the course been provided under separate cover?
This will include objectives, assessment of training, review, regular updates of material,
quality control?« is answered »yes« by 31 ports (97%) and not answered by 1 port (3%).
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Global Maritime Security: New Horizons
d. Does the course satisfy the requirements of the facility?« is answered »yes« by
all 32 ports.
e. Are people who have not received the ISPS Code training employed as security
personnel?« is answered »yes« by 1 port (3%) and »no« by 5 ports (16%) and not
answered by the remaining 26 ports.
g. Did facility personnel with security duties receive IMDG Code training?« is
answered«yes« by 18 ports (56%), »no« by 13 ports (40%) »N/A« by 1 port.
h. Did facility personnel without security duties receive initial ISPS Code training?«
is answered »yes« by 29 ports (91%) »no« by 1 port (3%) and »N/A« by 1 port (3%):
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Global Maritime Security: New Horizons
j. Is there a key register log?« is answered »yes« by 30 ports (94%) and not
answered by the remaining 2 ports (6%):
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Global Maritime Security: New Horizons
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Global Maritime Security: New Horizons
Does the facility have a CCTV system?« is answered »yes« by 31 ports and not
answered by the remaining port.
r. How much of the facility does the CCTV system cover?« is answered »totally«
by 16 ports (50%) and »partially« by ports 10 (31%)
s. Are the CCTV cameras monitored at all times?« is answered »yes« by all 32
ports.
u. Does the facility have adequate lighting?« is answered »yes« by all 32 ports.
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Global Maritime Security: New Horizons
b. Do the security guards have a location device on their person if they are for
some reason incapacitated?« is answered »yes« by 5 ports (9%) and »no« by 26 ports
(81%) and »N/A« by 3 port (16%);
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Global Maritime Security: New Horizons
Personnel
Persons loitering outside the port facility 92
Person taking photographs of the port facility 65
Person on vessel engaged in suspicious activity 3
Vehicles and vessels
Vehicle loitering near the port facility 60
Vessel loitering offshore at the port facility 88
3. MATERIALS HANDLING
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Global Maritime Security: New Horizons
Suspicious parcel/envelope 2
Suspicious substances 1
Suspicious items 1
Cargo
Vehicle delivering cargo without proper documents 4
Cargo without proper seals 18
Discovery of unauthorized cargo on board a ship alongside 1
Ship’s stores
Vehicle delivering ship stores without proper documents 4
Delivery of ship stores without prior notice 18
Unauthorized item found in vehicle delivering ship stores 1
Unaccompanied baggage
Unaccompanied baggage found in the Port Facility 12
Unaccompanied baggage
Unattended baggage found within a Restricted Area 3
Vehicle carrying unaccompanied baggage seeking entry to the Port 1
Facility
4. EMERGENCY RESPONSE
5. SHORE INTERFACE
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Global Maritime Security: New Horizons
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Global Maritime Security: New Horizons
“Possible gaps” in training given to the security staff based on the information
collected were defined as follows:
• Source of ISPS training is not clear, most probably some ports don’t have
organized training schemes, they just tend to hire people who already have
been trained and do not pay real attention to updating;
• Security staff are not prepared for communication during emergency cases,
“emergency call button”, “location device” and “covert signal” are not common
practice;
• The severity of Access Control and its consequences are not well apprehended;
staff doesn’t mind acting in their own initiative in letting in persons or vehicles
without proper document check;
• Security staff is not fully aware of the risks of people or vehicles outside but
just in the vicinity of the facility, they don’t expect malicious acts from entities
unless they are within the boundaries of the facility;
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Global Maritime Security: New Horizons
• They are not fully qualified to recognize the labeling, tampering on labels and
seals;
• They have hesitation in calling other parties such as customs, police, technical
assistance etc. in situations where they are not authorized; in fact they cannot
properly identify “those” situations;
This project intends to use benchmarking and promote good practice throughout
the partnership and beyond. All partners have extensive background on security issues
and innovative training programmes. The project aims to address a clear need for a
harmonized European training programme as expressed by the security sector in
general and by the maritime industry and the clients it services in particular. In order
to be able to develop such a training programme, extensive expertise and know-how are
needed. The project therefore solicits the direct support and involvement of maritime
security sector which is able to deliver expertise in this crucial field:
• The maritime and shipping industry (Port facilities and operators, ship crew,
shipping companies)
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Global Maritime Security: New Horizons
In summary what is innovative is getting the knowledge that already exists but not
transferred for training of crews in port security. New innovative Port Security Training
Modules to be developed by the transfer of Safety and Security Training Simulator and
adapting it to port security and adaptation of the e-learning modules will also enhance
the effectiveness of the proposed training programme. The simulation-based modules
that will be developed and applied in this project will focus on the implementation
of game-based technology, 3D models of ship spaces and port areas for safe guard
training and education scenarios. Therefore, this is not a business as usual project but
a novel proposal based on an identified and real need with a well thought plan and for
implementation by real and competent partners with worldwide reputation who are
willing to offer their expertise and innovative accumulation to generate synergies by
exploiting existing VET innovations.
Development phase during which the consortium will gather, analyse and
consolidate available and applicable knowledge and expertise in order to be able to
deploy the envisaged training tools,
The exploitation and dissemination phase during which the developed training
programme is made known at European scale to relevant stakeholders, learning
communities, existing networks, the general public and the press.
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Global Maritime Security: New Horizons
Both the methodology and the work programme have been elaborated in close
collaboration with all project partners involved in order to accommodate/facilitate the
project flow and to align their knowledge, expertise and input. The work programme
demonstrates a clear and systematic approach, required to run the project effectively.
The work programme has been conceived in a very practical way and provides for an
appropriate division of labour within a manageable time frame in order to fulfil the
stated objectives. It is realistic and balanced and the allocated budget is consistent with
the envisaged deliverables. Regular consultation moments with the project partners
involved will be foreseen in order to frequently assess and, where/when needed, re-
align the proposed methodology and work programme vis-à-vis the foreseen project
outcomes, dedicated time frame and budget.
From the sectorial perspective, the proposed project directly addresses one of
the key priority areas of the LLP: “Encouragement of cooperation between VET and
the world of work (LEO-TraInno-7)” by developing vocational skills considering the
labour market needs. Port facilities face a pressing need for specifically skilled security
employees. The programme answers this need by providing employees/trainers
with a specific skill set, contributing to their personal skills development and to the
professionalization of the security sector. The programme allows both new/existing
employees to seamlessly combine theory and field practice boosting their job readiness.
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Global Maritime Security: New Horizons
V. Conclusion
Building the defence against any threat to maritime security is essential in order to
achieve safe, secure and efficient shipping that is the prime objective of the International
Maritime Organization (IMO).
The introduction of the ISPS Code may have significantly reduced maritime
attacks by terrorists since 1 July 2004. However, the recent security breaches and
incidents have shown that ISPS Code did not provide desired level of security neither
for ships nor for port facilities. Although these regulations have improved maritime
security, gaps and regulatory bottlenecks remain. Additionally, different interpretations
of the code in different countries are one of the ISPS Code’s weaknesses.
The course will receive acceptance due to its importance at international and
European levels and will be included in the existing MET programmes. Two umbrella
organizations in the partnership will boost the recognition of the course in the industry.
The ISPS Code provided many contributions for security area but from the date
that put into force, deficiencies continued and the code does not provide satisfied level
of security. In this context, an analyze of the ISPS Code by using Fishbone Diagram,
Pareto Chart Diagram and brainstorming sessions in order to identify potential
factors causing an overall effect process was carried out. It was found out that there
were six main causes that affected the expected level of security. Training is the most
important area to focus on comparing with security awareness, risk management and
standardization. Universally accepted comprehensive training programme for all level
security personnel can contribute to reduce deficiencies. Although the causes indicated
in this research seem to have a different importance level, we believe that all deficiencies
are related and complement to each other.
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Global Maritime Security: New Horizons
References
2. Albayrak, T. et al, (2012), ‘’Turkey’s Efforts for Global Maritime Security’’, Maritime
Security and Piracy (Global Issues, Challenges and Solutions), EBC Publishing (P)
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4. Averill, B.A. (2010), “Oil, Gas and Maritime Security”, Journal of International
Peace Operations ,Vol. 12 No .2,available at: http://web.peaceops.com/
archives/897(Accessed: 10 July 2012)
5. Balbaa, A., (2005), Protecting seafarers rights - the need to review the implementation
of the ISPS Code. Association of Maritime Universities (IAMU) 6th conference ,
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6. Baldauf M., Kataria, A. (2013), Short Review of the Legal Environment for Private
Security across Europe, Metprom Project Work Package 4 - supporting document
(draft)
7. Bichou, K. (2004), The ISPS Code and the cost of port compliance: An initial
logistics and supply chain framework for port security assessment and management.
Maritime Economics & Logistics 6(4), 2004, pp. 332-348.
8. Burmester, C. (2005), International Ship and Port Facility Security (ISPS) Code:
The perceptions of shore-based and sea-going staff. In: Nielsen D (ed.) Maritime
Security and MET. Ashurst:WIT Press, 2005, pp.185-194.
11. Darbra, R.M. and Casal, J. (2004), Historical analysis of accidents in seaports, Safety
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Approach to Port and Maritime Container Security. EU Insight, Issue 21, July
2008. Pub: Delegation of the European Commission to the United States. Available
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14. George, B., Whatford, N., (2007), ‘Regulation of Transport Security Post 9/11’
Security Journal, 20/3,2007, pp.158-170
15. Goh, R., (2006), The Adequacy of the International Ship and Port Facility Security
Code in Addressing Post-9/11 Maritime Security Threats from Ships and Ships’
Crews, Journal of Singapore Armed Forces,2006.
16. Griffett, T., (2005), The impact of ISPS Compliance on Shipowners, Australian
Shipowners Association, Melbourne
19. Kothari, B.S., (2008), The Role of Technology in maritime security: a survey of
its development, application and adequacy, Master of Science dissertation, World
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20. Mazaheri, A., (2008), How the ISPS code affects port and port activities, University
College of Borås, Master Thesis, 2008.
21. Mazaheri, A., Ekwall, D., (2009), Impacts of the ISPS Code on port activities : a case
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attack using oil tankers”, CRS Report for Congress, available at: http://www.fas.org/
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26. Ran, M., (2005), Effectiveness of the International Ship and Port Facility Security
(ISPS) Code in addressing the maritime security threat, Geddes Papers, 2005.
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31. Urciuoli, L., Ekwall, D., Torstensson H., (2013), Feasibility study – identification of
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I. Introduction
Within the past few years, the threat related to maritime traffic has evolved.
The focus has been extended from foreign naval activities to a wider range including
potentially every vessel moving at sea. As various sensors used to track and monitor
ship all over the globe are becoming more affordable, it leads to a wider coverage
and produces a huge amount of data to manipulate in real time. Maritime Situation
Awareness relies on the quality and quantity of the data, collaborative networks have
been created between countries in order to share their data feeds.
Because bad actors may try to elude this coverage or provide misleading
indications, data collected from cooperative reports need to be correlated with other
sensors that are able to detect non cooperative vessels. All these different data sources
have their own characteristics which raise technical and research issues when trying
to fuse all the information together in order to generate a real time Maritime Situation
Picture. Data mining tools can be used to sift the data and when combined with expert
knowledge can be used to detect and identify a manageable set of potential threats for
further investigation.
Maritime domain awareness (MDA) begins with the ability to detect and track
vessels at sea and on a nation’s waterways (Ince et al 1999). We can divide detection and
tracking systems into two general categories: cooperative and uncooperative tracking
systems. Cooperative systems rely on the vessels to identify themselves and report their
own positions. This category includes Automated Identification System (AIS), Long
Range Identification and Tracking (LRIT), and Vessel Monitoring Systems (VMS). On
the other hand, non-cooperative systems do not rely on target vessels to voluntarily
provide any information. Coastal radar and visual observations are common types of
non-cooperative detection and tracking systems, and commercial radar and electro-
optical imaging satellites are growing in importance.
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Global Maritime Security: New Horizons
These two types of systems complement each other. Cooperative systems can
collect and process large amounts of data easily and efficiently. Their weakness is that
they rely on the vessels to truthfully report information. Vessels may misreport their
locations or identities in order to hide their true intentions, or they may not report them
at all. There may also be inadvertent errors or gaps in their transmissions even if they
have no bad intentions.1 Non-cooperative system can detect and track vessels that have
chosen not to self-report. However, many non-cooperative systems only provide vessel
detections, and do not provide an identity nor vessel type. Thus, after a non-cooperative
target has been detected it still needs to be characterized (e.g. fishing vessel) or identified.
Upon its introduction in the early 2000s,3 AIS quickly became the workhorse of
MDA. It was originally introduced as a safety measure for collision avoidance. It allows
vessels to detect and identify other vessels in their vicinity and to easily coordinate
movements to avoid unsafe situations.
Authorities soon discovered that they could use AIS to monitor vessel traffic in
their areas of interest for security and law enforcement purposes. This observation led
to many countries to install AIS receiver stations around their maritime borders. AIS is
typically a line of sight system.4 Thus, most nations started by installing AIS receivers
in their ports and other areas with high vessel traffic and then expanded along their
coastlines. AIS receivers and antennas are reasonably cheap. Thus, even a substantial
deployment of AIS receiving stations could be cost effective.
Despite their relative low cost, poorer nations, particularly in Africa, lacked the
means to implement such systems. The United States and other nations offered foreign
assistance to interested nations to acquire maritime surveillance systems including
AIS. In the mid to late 2000s there was a substantial effort ring the world’s oceans with
1 For example, often vessels turn off their AIS broadcasts in the Somali piracy area to complicate the pirate’s targeting
problem. The Best Management Practices v3 for countering Somali piracy recommends that “Outside of the Gulf of Aden, in
other parts of the High Risk Area, the decision on AIS policy is again left to the Master’s discretion, but current Naval advice
is to turn it off completely (IMO 2011). We also often see AIS transmitters using system default settings.
2 We caution the reader that broadcasting AIS does not equate to “good” and not broadcasting AIS does not equate to
“bad.”
3 Class B AIS transceivers were introduced in the late 2000s as a cost effective way to extend AIS reporting to smaller
vessels that are not covered by the requirements to carry Class A transceivers.
4 However, in many areas electromagnetic ducting can significantly extend the AIS horizon.
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AIS receivers including these countries. In remote and underdeveloped areas installers
encountered the twin challenges of getting power to the installation and the data
out of the installation. In the poorest of countries, sustainment remains a challenge.
Nonetheless, the result is that many of the world’s high priority areas (ports and choke
points) were eventually covered by AIS receivers.
Because a vessel’s AIS broadcast is over an open and easily received broadcast, it
is considered to be “public” information,5 and there is a market for this type of maritime
information. Private organizations and companies also got into the business of installing
AIS receivers, and they built worldwide networks to collect, distribute, and sell the data.
Because AIS is a line of sight system these terrestrially systems typically collect
signals for a few 10s and maybe a 100nm. Despite the successes of deploying AIS systems,
thinly populated coastlines and the open ocean remained dark. The next innovation came
with the collection of AIS signals from satellites. In the mid-2000s public and private
organizations realized that they could collect AIS signals using receivers on satellites and
that this would be a valuable source of data on maritime traffic in the open ocean. Within
a few years there were a number of government and commercial sources of this data.
Satellite collected AIS provides great benefits. Because terrestrial systems are line
of sight, countries can potentially monitor their territorial waters. However, in most
cases terrestrial systems will not cover the far reaches of their exclusive economic zone
(EEZ). Satellite AIS provides countries a view of vessel activity within their EEZ. For
example, in many parts of the world, illegal, unreported, and unregulated (IUU) fishing
is a significant loss of revenue and depletes marine stocks.6 Much of this goes on just
over the horizon, and satellite AIS has the potential to shine the light on this type of
activity.
5 This is not without controversy. As early as 2004, the IMO recognized that there may be dangers associated with freely
available AIS data on the Internet: “…the publication on the world-wide web or elsewhere of AIS data transmitted by ships
could be detrimental to the safety and security of ships…(IMO 2004)”
6 For example, one study estimates that 32% of fishing in the south-west Atlantic is IUU (FERR 2008).
7 This is typically every few minutes.
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for security purposes. LRIT allows nations to track vessels that inbound to their ports
or in transit in their vicinity (i.e. within 1000nm). Vessels must report their locations to
their flag states (or their representatives) every six hours. Typically this is by point-to-
point satellite communication. The flag states’ data centers then distributes the data to
all those who are entitled to it. LRIT data is not broadcast “publically” like AIS.8 Thus,
there is generally more control over who within a government is allowed to receive it.
In theory there is somewhat more control over vessels self-reported LRIT data
because it is reported directly to the flag state. For example, if a vessel chose to stop
reporting during a voyage, it would be noticed. Changing an AIS broadcast is as simple
as pushing a few buttons, and no one is necessarily doing any quality control on the
data.
It’s reported that upon building his first telescope Galileo soon turned it to the
problem of detecting ships on their approach to Venice. Such knowledge provided
a competitive advantage in pricing imported goods. He also pointed out its military
importance (King 1955). Despite the ubiquity and ease of collecting AIS data, non-
cooperative vessel detection and tracking systems are still vital to the MDA problem.
Non-cooperate detection system, such as visual observations and radar, provide the
ability to detect and track vessels regardless of their desires (Wall et al 2005). However,
they generally require more effort to characterize and identify a target (The data
processing is developed in the Sec. IV. 2). That is, knowing that there is some ship at
some location is of much less value that knowing which or what type of ship is at that
location.
The most common non cooperative detection and tracking systems are radar,
radar imaging, and visual observations. These may be shore based, airborne, or satellite
systems. Many important locations such as ports and vessel traffic corridors are
monitored by an integrated AIS and coastal radar system. This provides the operators
a persistent, fused, real-time display of AIS and radar contacts. As with AIS, the radar
8 Returning to the Somalia example, vessels which turned off their AIS broadcasts keep reporting their LRIT information.
The IMO encouraged flag states to provide this information to counter-piracy forces (even if they would not normally be
entitled to it). (IMO 2010)
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horizon is limited by the line of sight, and thus they do not provide a long range
monitoring system. Maritime patrol aircraft can extend this horizon and combine AIS,
radar, and visual observations. However, because they are not persistent, their tactical
use must be timed to match maritime operations.
Commercial radar imaging satellites are a relatively new and powerful tool for
detecting ships beyond the shore based radar and AIS horizon and without using
maritime patrol aircraft. Several commercial companies are in this market place. These
companies can provide the raw imagery or value added products such as ship detection
reports. They will even correlate the radar detections with AIS reporting. Users can
then input these detections into their maritime operational pictures. For example,
during the Exercises Obangame and Saharan Express, Naval Forces Africa and the EU
Joint Research Center purchased and processed radar imagery of the operations areas.
The ship detection reports were injected into the SeaVision operational picture where
they were viewed along with the AIS contacts. Generally radar ship detections must be
correlated with other data, typically AIS, to identify targets. If other data feeds are not
available, for example due to missing equipment like AIS receiver or antenna, it becomes
difficult or impossible to correlate the detections made with the satellite imagery with
other data that could be useful to characterize or identify a target.
The ability to image a given region of ocean is limited by the satellite’s orbits. Most
radar imaging satellites are in sun synchronous orbits. Thus, at the equator any given
region has two satellite passes per day: One at sunrise and one at sunset. Radar satellites
are unable to provide information outside of those windows. An additional limitation
with radar imaging satellites has been the timeliness of the data. This is a function of
lack of ground stations to receive the imagery and the timeliness of processing the
imagery and detecting the ships. For example, for much of Africa, satellites must store
the imagery till they orbit to a suitable downlink. An early morning pass over Africa will
arrive for processing in the middle of the night if it is processed, for example, in North
America. Lastly, many of the commercial vendors require long lead times for acquiring
imagery. They lack the ability to respond to emergent requests.
The satellite images bring an added value to the existing systems in terms of spatial
cover. The main limitation is the revisit time (between 1 and 3 days) which stays below
needs for the users, who work in real time. Satellites have to improve the detection
of ships as well as the relevance and the frequency of the detection. Satellites can as a
supplement to the traditional systems, to be used as well in zones spatially restricted as
very vast.
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The use of SAR satellites is very interesting because the scenes can be indifferently
taken in the daytime and at night and by cloudy weather. The main elements affecting
the capacities of detection of ships are the width of swath, the angle of incidence, the
spatial resolution, and polarization. However for a use in maritime surveillance, the
state of the sea is an important parameter to take into account. The more the sea will be
rough, the more it will be difficult to make the difference between a crest of wave and
a ship.
• The swath width. For the detection of ships, we use the wide and the narrow
swaths. The narrow swaths are very useful for the follow-up of coasts and
ports, while the wide swaths are used in open sea.
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over Somalia and Mogadiscio are very exciting for maritime surveillance. In 2013 is
planned the launch of SENTINEL 2 which possibilities of applications are to be verified
and to be estimated.
Most of the already operational systems are based on the use of the radar satellites.
But the use of a multi-approach mission with optical images HR (high resolution)
and radar data can supply necessary detailed information in the case of follow-up of
suspicious activities. The multi-approach missions (Ince et al., 1999) can help to meet
the needs of high frequency of revisit, it also allows to combine the advantages of the
optical images and radar satellites. The imaging adapts itself to multiple situations and
to diverse geographical frameworks. The reactivity of the analysis and the treatment
of the information allowed the collection of an accurate and information within an
operational framework. However to overestimate the capacities of the technical and
technological means can expose to certain disappointments (For more details see Sec.
IV. 5).
As discussed early, AIS is broadcast in the open and is in some sense public.
There was relatively little resistance to sharing it among governments.9 10 For many
governments the first step was to share information with their immediate neighbors.
This gave authorities information on maritime traffic that was over their horizon and
headed their direction. There are now several regional AIS sharing networks throughout
the world. Nations found that there is even more value in networks when they have
access to global data. A vessel in their area may have set sail from some distance from
their shores and the point of departure or their track may be of interest. Flag states
also have some interest in vessels carrying their flag regardless of where they are on the
ocean. Participation in a global network also provides a country with some information
on these vessels even if it is a great distance from the flag state.
Generally, the smaller the group, the more that can be shared. The least common
denominator is AIS signals that are collected by terrestrial receivers. In more restricted
networks, participants may share other data beyond vessel positions. These networks
may include vessel of interest lists, case files, and information on cargo and people.
9 The same does not apply to other maritime data like LRIT or people or cargo.
10 As mentioned early the IMO did raise concerns about the public availability of AIS information on the internet.
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Business and academic institutions too recognized the value of AIS data and they
quickly created their own AIS collection and distribution networks. Marinetraffic.com
refers to itself as an, “academic, open, community-based project (Marine Traffic 2013).”
It relies on AIS data provided by academic institutions and other maritime enthusiasts.
In addition to AIS, contributors can also upload photos of the vessels. Marinetraffic.
com provides a free publicly available AIS COP on the internet AISLive.com and
vesseltracker.com represent two commercial ventures that provide (sell) AIS and other
maritime data over the internet.
possible. Different actions are required in order to generate the GMSA. First of all,
the system must be able to access and integrate maritime data already collected from
various sensors (detection). It must also be able to share information within a trusted
collaboration environment (data sharing). Once collected, enhanced tool set are used
to process and analyze the ever increasing amount of maritime data, fuse all source
information and detect key anomalies (fusion and analysis). Finally, the dissemination
of the GMSA relies on a federated regional architecture wherein data is exposed and
discoverable based on a user’s preferences (dissemination). A functional process is
detailed in the following section.
Figure 1 presents the functional process used to generate the Maritime Situational
Picture. First is a data integration step (Fig. 1, step 1) which relies on monitoring system
providing real-time position data integrated from cooperative or non-cooperative
sensors. These must be stored in a database (step 2), and then, trajectories are derived
from position data and erroneous positions can be filtered (step 3). Trajectories of
vessels having the same activity (same path) can then be clustered (step 3). This is the
data pre-processing step.
Thanks to the trajectory clusters, data mining tools can be used to extract
meaningful information about the vessel’s usual path and behavior. These spatio-
temporal information are summarized into a pattern that depict the behavior of objects
(step 4). Depending on the kind of trajectories analyzed, the pattern can depict either:
These patterns and expert knowledge (rules) are very useful to qualify the huge
real time position data feed from various sources. A data qualification process is used
to compare and match the real time positions and tracks to experts’ rules or patterns in
order to detect suspicious behavior (step 6).
Finally, the Global Maritime Situation Picture is computed with all the raw and
qualified data. This picture is then displayed and share with maritime traffic monitoring
operators who can focus their attention to vessels paths that have been qualified as
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suspicious by the system (step 7). As the user is also a part of the data qualification
process, he can detect abnormal behavior that are not yet automatically detected and
classified by the system. Moreover, the system itself can generate false detections. This is
why it is important to integrate the traffic monitoring operator feedback into the system
in order to improve the qualification process by creating new rules/patterns or giving a
different weight to the patterns/rules depending on their effectiveness.
The end-to-end process for obtaining and distributing the data involves four
main actions: tasking, acquisition and the processing, exploitation, and dissemination
(Ince et al 1999) to the end user (TPED). As the data sources have already been treated
in a previous section (Sec. II), we will not detail them in this paragraph.
Tasking is based on the definition of the requirements of the users and the creation
of a collection plan to fulfill these needs. As depicted in previous sections, there are
numerous different sensors and data feeds that generate a huge amount of data. These
data must be processed, exploited and fused in order to generate a Maritime Situation
Picture that provides value to the end users.
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The extraction of information from images requires the use of various processing
techniques and the different data feed available with the aim of detecting ships and
identifying targets. We use semiautomatic or automatic algorithms (Greidanus 2007;
Vespe et al 2012), the expert eye of an imagery analyst, a signal expert and databases
queries. Different steps are involved in this process:
These data come from different sensors and sources, so they do not necessarily
have the same characteristics. Some sensors give more information than only a position
report but also attribute data such as information about the ship itself or unique
identifier. Some sensors are more or less precise in their location information. They
may be available in real time or can be delayed when incorporated into the database.
All these differences between the sensors raise some problems when the data needs
to be fused together. As long as the data is displayed without any processing, it can be
visualized on a map using the sensor characteristics such as its geographic precision and
timeliness to draw a precision circle around the position report.
However, the position reports are sometime limited if the user wants to know
what the path of a particular vessel. Then, positions reports from different sources need
to be fused an aggregated together to generate a trajectory. As the positions reports are
mostly discrete, positions reports are usually connected together using a straight line.
If one sensor source have a constant bias, the trajectory generated using this
sensor position reports only will be constantly biased. However, adding position reports
from other sources will generate hops between positions reports of the two sources
and the trajectory will not look smooth. Depending of the required precision and the
scale of the analysis, these small biases can be smoothed using a trajectory filtering
algorithm such as the Spatio-Temporal Douglas & Peucker (Bertrand et al. 2007)
.This filtering algorithm can simplify a polyline within a specific precision range. It
does not generate new or interpolated position. It keeps only key positions that are
required to represent the initial trajectory within a precision threshold. This algorithm
performs very well when applied on straight lines with constant speeds. In that case, the
redundant information is discarded and only the relevant positions are used to generate
the trajectory. This filtering algorithm can filter more than 80% of the position required
to represent a trajectory with a 10m precision which is the precision of the sensor itself.
Once the trajectory is modeled using different data sources, some more
interesting queries can be done. As an example, a common query consists in selecting
vessel travelling inside an area or crossing a particular line.
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An analysis based only on positions report can fail as the ship can be plotted
just before and right after the area of interest. No position report inside an area does
not necessary mean that the ship did not enter this zone. Moreover, sensor spatial and
temporal precision needs to be taken into account in order to answer this type of spatial
query. Thanks to the different information about the sensor’s precision in this particular
area, the answer might become fuzzier such as a probability score that the ship was
inside this area at that particular time.
The trajectory generation process can be eased when focusing on a small area
where the sensor coverage is well known and the maritime traffic is lower. However,
using the worldwide data sharing network presented in section III make the analysis
much more complicated. Data feed can carry positions reports that are biased or
voluntary erroneous.
Beyond simple awareness of what vessels are in an area of interest, the data
can be analyzed to detect suspicious characteristics or behavior. The goal is to find a
manageable subset of vessels for more detailed investigation from the larger universe of
vessels operating in one’s area of interest. Much of maritime threat detection is based on
external tips of bad behavior. For example, an informant may pass that a yacht leaving
this port on this day is carrying drugs to this other port. In this case the data can be
analyzed to find vessels that meet these criteria. In the absence of an external tip, the
data itself must be analyzed to find indications of a threat. In this section we discuss
some of the techniques for mining the data to find these indications:
• Anomalies in AIS
• vessel features
• kinematics: behavior inconsistent with expectations
• kinematics: comparison with past behavior
• kinematics: comparison with “bad” patterns
The added value is the result of four actions: the correlation and the fusion of data
on one hand, and the extraction and the classification of characteristics on the other
hand. For the first two actions, we compare various layers of information stemming from
different sources (SAR images, optics, radars, VTS, AIS etc.) to determine suspicious
behaviors. As for the extraction and for the classification, they are automatically made
by algorithms generally and/or by means of the human interpretation.
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Global Maritime Security: New Horizons
These suspicious behavior algorithms are usually based on static or dynamic feature
of the data feed. Some algorithm focus on vessels of interest depending on vessel’s features
such as convenience flags, age of build or size. They can compare ships information with a
database in order to detect inconsistency and alert traffic monitoring operators.
Some integrate the vessel position and trajectory to monitor if the ship break into
a specific area or move at an irrelevant speed. This kind of algorithm need to perform
geometric computation which can be problematic to apply on huge real time data feeds.
Other algorithm also integrates the sensor coverage and precision in order to
distinguish the difference between a tracking lost due to a weak sensor coverage and a
ship that try to hide from sensor detection (shutting down AIS transceiver).
These patterns can be used to define the usual behavior of vessels navigating in a
specific area for a particular purpose (Etienne et al. 2010). They can also compare the
behavior of ship known to patterns of illegal activities.
A combination of all these algorithms and expert knowledge can be used to classify
the ships’ positions and trajectories has being suspicious. All these tools combined
together are important to ease the traffic monitoring operators work and cognitive load.
The worldwide data feed is enormous and ships performing illegal activities try to hide
into this flow.
Processed data are delivered via a GIS web application or via a secure Internet
access. The production of maps and reports is also another solution. Products based
on the data obtained by satellites must be integrated into one technical and operational
level, namely in the already existing systems. This integration necessarily has to be
made at the operational level of the users. For example the interface can take the shape
of a global map of the area in which are displayed several layers of information, with
a possibility of zooming at a local level. We find several layers of information there:
the footprints of satellite imagery acquired a miniature of the images and a zoom on
every detected target. For every target are given: the location (coordinates), the date
and the hour of the acquisition, the additional information, the classification of the
datum (restricted, confidential, secret, not protected) and its source, as well as the status
(in movement, at anchor), the possible characterization (size, speed, road) as well as
the reliability of the detection (known, possible, likely, unknown). Once classified and
treated, a report is sent to the users in the adequate format and is integrated into their
activities of surveillance as an additional layer of information.
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The main steps described hereafter follow the four main steps described in the
section IV. Global Maritime Situation Awareness: detection, data sharing, fusion and
analysis, then dissemination.
The data processed are extracted from satellite imagery (SAR and /or optical) and
fused with ancillary data such as bathymetry, maritime limits...etc. Images are analyzed
by imagery specialists and by signal experts. The use of automatic or semi-automatic
algorithms on SAR images allow to extract high added-value information that are later
fused and correlated with in-situ data such as VMS, AIS or LRIT signals.
Before being shared, the raw data and the produced data (maps, reports, and
extracted information) are validated. This steps of validation is crucial because it aims
at sending and sharing the most accurate and reliable information at the right time to
the right actor. The aim here is to calculate (based on operational requirements made
between actors and industrials) the service performances. Mainly in this case we are
talking about the percentage between the acquired data vs. the acquisitions planed, the
delivery time, the false alarm rate (FAR), the resolution and the polarization (for SAR
images) and the valid detections vs. the probable detections.
When the accuracy of the information has been made the data and final products
(can be maps and reports) are sent and shared via web secure platforms for targets
detection, anomalous behaviors detection, correlation and fusion of multi-sources
information, classification and identification of targets. Those web interfaces are more
and more directly integrated in the existing systems in order to avoid duplication of
such systems as well as reducing the reaction time.
Nowadays, the control of the seas and of the information of maritime interest
is intimately linked to satellite technologies. This control relies especially on the
systematic use telecommunication and observation satellites. In this context IMINT
(Imagery Intelligence), GEOINT (Geospatial Intelligence) and SIGINT (Signals
Intelligence) became essential in terms of security and safety11. Such a systematic use of
11 IMINT, GEOINT and SIGINT are three methods of information collect and analysis. They are means to collect intelligence.
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Global Maritime Security: New Horizons
satellite imagery (SAR or optical) within the international relations presents advantages
and inconveniences. If the use of satellites avoid intervention it also, sometimes, raises
questions of sovereignty. Nonetheless, the objective of using such tools is to limit the
blind spots i.e. sensitive areas, areas with an impossible or difficult to reach etc.
For every type of zones to be watched and for every type of surveillance, actors
will find tools for their needs/requirements. The information of maritime interest is the
exploitation and the analysis more pushed of data with the aim of obtaining an evaluation
of a risk and treating it accordingly. The information contents with positioning and
with describing a ship, its route and all the factual elements needed. Confidentiality
and exchange are two of the topics that the European Union for example tries to move
closer within projects relative to the maritime safety and security. Users try to increase
their capacity of ships’ identification and risks’ analysis connected to their behavior. The
surveillance is in constant movement and does not stop improving. The data are more
complete, more complex, sources get modernized and are regularly updated. What
perspectives can we expect? What are the purposes to be reached regarding surveillance
and maritime control? The maritime surveillance’s structure is divided in two axes: the
data and the sources. We shall see at first the data. Then we shall analyze the sources
which correspond to the technical and human devices which assure their collection.
A major focus of the surveillance network is criminal activity on the seas such as
the trafficking of drugs, weapons and human beings. In the case of the drug trafficking,
for example, the navies are interested in fast boats navigating along the Guyanese and
Brazilian coasts to cross then the Atlantic Ocean up to the African coasts and then
navigating again towards and along the European coasts. Moreover, accidents linked
to the ships’ seaworthiness, to the terrorist risk and piracy stress the need to monitor
wide areas of the seas. The surveillance and the control of the borders (Greidanus
2004) were never as good as nowadays, but with the increasing sea traffic, the demands
for monitoring for security and for safety increase proportionally. Satellites answer
perfectly the need for vast surveillance because they offer a capacity of cover which
extends for example of a 50 kilometer scene over 50 kilometers in a 500 kilometer scene
on 500 kilometers. The possibilities are multiplied tenfold according to the modes of
shots and get a wide panel to the users. The users can thus have access and should
rather couple a maximum of types of data to draw the information of maritime interest
which they need. The corporations, the military and the civilians participating in this
surveillance find here significant common interests in developing new technologies
such as algorithms processing the satellite images (See for more details the Sec. IV. 1. b),
the 3D images allowing ships’ characterization etc.
all the regions of the globe. Navies, because it is them who are mainly in charge of the
information of maritime interest work in association with the commands of the various
maritime zones in the world and their allies whose air and naval patrols transmit an
image of the surface’s situation and the situation of the maritime approaches. The data
can be if need correlate with those of the satellite images and by the rerouting of a ship
or an aircraft to verify the relevance of the initial information (Regarding data mining
see Sec. IV. 1. b).
The information of spatial origin can bring a significant added value to the systems
already used, especially regarding the geographical extent to be covered. Satellites can be
deployed over the zones of dense traffic or for very vast zones. The data extracted from
the satellites are used raw or correlated with the systems of identifications on board of
ships. The combination of these data is a help to the localization and to the awareness
of the surface’s situation. When the images are merged with other information sources,
we obtain a much wider view of the activity in coastal waters and in the EEZ. The main
clause limitation remains the revisit time which remains poor. The continuity and
revisit depend on missions’ types, number of satellites used and in the implementation
of constellations (Cosmo-SkyMed, SAR-LUPE, PLEIADES, SENTINEL...). The
second limitation is the delivery time. A quick delivery time is essential during urgent
operations. It is necessary to supply information as quickly as possible especially for
certain customers who are neither expert in processing of the image nor in interpretation
of SAR images. Most of the MARSEC projects aim to fill the gap separating the users
and images providers by the creation of one added value by companies which produce
information ready of being used. The important point lies in this integration of one or
several adequate tool(s) into the existing interfaces in order to obtain a pre-processing
and a data analysis.
To improve the Maritime Situation Picture, four parameters need to be taken into
account:
2. The period of revisits: the regular update, even continuous in certain tactical
operations, is essential.
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V. Conclusion
As sensors abilities increase and cost diminishes, the data sources to track ship
worldwide are becoming more and more available. It is foreseen that the data flows will
keep growing as the satellite technologies and unmanned systems (Unmanned Aerial
Vehicles, Autonomous Underwater Vehicles) further develop and spread. Data from
cooperative tracking systems and non-cooperative detection sensors must be combined
to increase the extent and precision of the Maritime Situational Picture. These data
are the foundation of Global Maritime Situation Awareness. These sensor systems can
generate huge amounts of data and which can lead to cognitive overload of those whose
task is to monitor and evaluate maritime traffic for threats. This massive data set must
be stored in databases and analyzed so that it can be efficiently exploited to detect and
qualify suspicious behavior of ships. Intelligent systems using a combination of different
intelligence sources, experts’ knowledge and statistical patterns generated using data
mining tools are required to detect suspicious activity hidden in the data. The sharing,
combination, and analysis of all these different data sources lead to scientific problems
that are yet to be solved.
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References
2. Marine Traffic (2013), ‘Real time marine traffic website’, available at http://
marinetraffic.com/ais/faq.aspx?level1=160 (accessed 07 April 2013).
4. IMO (2011) “Best Management Practices to Deter Piracy off the Coast of Somalia
and in the Arabian Sea Area” version 4, http://www.imo.org/MediaCentre/
hottopics/piracy/documents/1339.pdf, (accessed 07 April 2013).
8. Brusch S., Lehner S., Fritz T., Soccorsi M., Soloviev A., van Schie B. (2011), ‘Ship
surveillance with TerraSAR-X’, in IEEE transactions on geoscience and remote
sensing, volume 49, num 3, pp. 1092-1103.
9. Corbane C., Marre F., Petit M. (2008), ‘Using SPOT-5 HRG Data in Panchromatic
Mode for Operational Detection of Small Ships in Tropical Area’, in Sensors, pp.
2959- 2973.
10. Gabban A., Greidanus H., Smith A.J.E, Anitori L., Thoorens F-X., Mallorqui J.
(2008), ‘Ship surveillance with Terrasar-X Scansar’, 9p.
11. Greidanus H. (2004), Satellite surveillance for maritime border monitoring, GMOSS
presentation, 7p.
13. Wall A., Bole A.G., Dineley W.O. (2005) ‘Radar And ARPA Manual: Radar And
Target Tracking For Professional Mariners, Yachtsmen And Users Of Marine Radar’,
Elsevier, 546p.
14. Jarvis D. J. (2009), ‘MarNIS Final Report, European technical Report n°:MarNIS/
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Global Maritime Security: New Horizons
15. Etienne L., Devogele T., Bouju A. (2010) ‘Spatio-Temporal Trajectory Analysis of
Mobile Objects Following the Same Itinerary’, In Proceedings of the International
Symposium on Spatial Data Handling (SDH), The International Archives of the
Photogrammetry, Remote Sensing and Spatial Information Sciences, Vol. 38, Part
II, pp. 86-91.
16. Bertrand, F., Bouju, A., Claramunt, C., Devogele, T., Ray (2007), ‘Web Architecture
for Monitoring and Visualizing Mobile Objects in Maritime Contexts’, In
Proceedings of the 7th international conference on Web and wireless geographical
information systems (W2GIS), pp. 94-105.
17. Vespe M., Visentini I., Bryan, K., Braca P. (2012), ‘Unsupervised learning of
maritime traffic patterns for anomaly detection’. Data Fusion & Target Tracking
Conference (DF&TT 2012): Algorithms & Applications, 9th IET Digital Object
Identifier: 10.1049/cp.2012.0414, pp. 1-5.
18. Greidanus H., Thomas G., Campbell G., Bryan K. (2012), ‘International Cooperation
For Space-Based Global Maritime Awareness – The Next Step’, ESA, SEASAR
Conference, Tromsø, Norway.
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Global Maritime Security: New Horizons
Abstract
Recent piracy activity in Africa and elsewhere calls attention to the opinion that
today’s interdependent global economy depends on the free and uninterrupted use of
the sea. Somalia is an excellent example of where maritime safety and security was
impacted by indigenous socio-economic factors which led to partnering efforts to
combat the scourge of piracy by a sometime incongruous plethora of naval assets, the
United Nations Security Council, the African Union Peace and Security Council and
various other organizations, notably the International Maritime Organization (IMO).
In comparison, the Gulf of Guinea is an example where there is a notable willingness
among regional nations to confront the piracy threat. Individually Nigeria, Ghana,
Benin, Togo, Cameroon and Senegal have taken practical steps to police their waters
but they lack effective maritime domain awareness. Maritime domain awareness as
it is termed in the United States is a key enabler to help maritime forces and other
organizations maintain maritime safety and security. Regional bodies such as the
Economic Community of Central African States (ECCAS) have expressed their
willingness to harmonize competing national interests, as well as in mobilizing
international assistance to build regional capacity in crucial areas, such as surveillance,
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Global Maritime Security: New Horizons
Unlike in the Horn of Africa where hostage-taking for ransom was the modus
operandi, oil is primarily the target of pirates in the Gulf of Guinea. After hijacking
a tanker or barge carrying oil, the pirates rendezvous with a mother ship on the high
seas to transfer the oil to be sold elsewhere. The countries in the Gulf of Guinea are
estimated to be losing $2 billion USD annually to maritime crime, primarily due to
piracy and illegal oil bunkering which further reduces their ability to use their vast
natural resources for socio-economic development of their countries. Lloyd’s, the
leading maritime insurer, has listed Nigeria, Benin and nearby waters in a high risk
category causing insurance rates to soar. This has the attention of the commercial
shipping industry (e.g. Oil Companies International Marine Forum (OCIMF)) which
is seeking to ensure a higher level of maritime domain awareness in the Gulf of Guinea
thereby improving maritime safety and security. However, the oil companies and Gulf
of Guinea nations require assistance from the world’s navies to make maritime domain
awareness effective in counter piracy activities.
1 Council, U. S. (2012). “Gulf of Guinea Piracy ‘Clear Threat’ to Security, Economic Development of Region;.” Security
Council 6723rd Meeting (AM).
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Global Maritime Security: New Horizons
The vast majority of African states are young republics, most of which still
have borders drawn during the era of European colonialism. Since colonialism,
African states have frequently been hampered by instability, corruption, violence, and
authoritarianism. However, Africa’s prospects have changed dramatically over the last
decade. The Internet is a key factor when considering Africa’s future growth prospects
in general. There are now more mobile Internet users in Africa than in America or
Europe.2 This has led to a range of unique new developments like mobile banking where
millions of Africans without bank accounts are able to exchange money as easily as they
would send a text message.
2 Ferguson, N. (2011). Civilization: the West and the Rest, The Penguin Press.
3 Boyer, A. (2007). “Building Maritime Partner’s Capabilities: Developing Maritime Security and Safety in the
Mediterranean and Gulf of Guinea in Shaping the Security Environment (Newport, RI: Naval War College Press).
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Global Maritime Security: New Horizons
The maritime domain is characterized by the huge amount of data necessary for
achieving maritime situational awareness. This includes all commercial and military
maritime vessel information and port records which are composed of ship, cargo and
passengers.
Because fiscal austerity, political will and other factors are impacting the number
of sea control assets which can respond to threats, improved maritime domain awareness
requires the effective balancing of key stakeholder governmental and commercial
equities.
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Global Maritime Security: New Horizons
The current operational concept for maritime security is to use existing operations
and security arrangements to improve cooperation in order to combat terrorism
and other illicit activities at or from sea, build the capacity of partners, and improve
information sharing. 6The concept is based on developing technological and political
means to generate complete, accurate and comprehensive operational and intelligence
pictures. Partnerships operate primarily at the unclassified level, processing large volumes
of information and passing it quickly to a large number of users. Traditional classified
systems have been determined to not be a viable option because classified information
is generally not shareable in the multinational and interagency environment.
When countries have historically collaborated on security or economic issues,
they have already established a path for partnering on maritime issues. Thus a successful
strategy leverages established partnerships and agreements. For example, economic
agreements created by participants of the Economic Community of West African States
(ECOWAS) can potentially be extended to maritime security issues.
ECOWAS, founded in 1975, is a regional group of fifteen West African countries
which promotes economic integration across the region by creating a single large
trading bloc through an economic and trading union. More recently is has tried to serve
as a peacekeeping force in the region.
A parallel regional effort has been the Economic Community of Central African
States (ECCAS) which aims to achieve collective autonomy, raise the standard of living
of its populations and maintain economic stability through harmonious cooperation.
In 2003 ECCAS took on the responsibility for peace and security of the sub-region
through its formalized security pact known as the Council for Peace and Security in
Central Africa (COPAX). Significantly, this initiative led to ECCAS becoming eligible
for Foreign Military Sales Program (i.e. government to government sales and assistance)
under the U.S. Arms Export Control Act for the furnishing of defense articles and
defense services.
While both ECOWAS and ECCAS are worthy organizations and can be part of any
Africa maritime strategy, it should be recognized that neither are mature organizations.
Furthermore, where there are common challenges within each region, or between
regions, like the Gulf of Guinea, cooperation between ECOWAS and ECCAS has not
reached its full potential. 7Where neighboring countries are perceived as competitors,
or if there has been a conflict between countries, existing tensions breed distrust making
it difficult to facilitate regional cooperation.
As important as regional cooperation, interagency cooperation is paramount.
The navy is a military organization which maintains a strong relationship with
other military branches and other navies. On the other hand, most of a coast guard’s
6 Committee on the “1,000-Ship Navy”—A Distributed and Global Maritime Network” (2008). Maritime Security
Partnerships, Naval Studies Board,The National Academies Press.
7 Ntumba, L.L. (1997) Institutional similarities and differences: ECOWAS, ECCAS and PTA. Regional Interation and
cooperation in West Africa: A multidimensional perspective, edited by R.Lavergne 303:20
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A number of countries have recently initiated the process of connecting the variety
of agencies responsible for maritime security operations under a single coordinating
body. Senegal, for example, has La Haute Autorité Chargée de la Coordination de la
Sécurité Maritime, de la Sûreté Maritime et de la Protection de l’Environnement Marin
(The High Authority Charged with Coordination of Maritime Security, Maritime Safety,
and Protection of the Marine Environment). Ghana has the Ghana Maritime Authority.
And Nigeria has the Nigerian Maritime Administration and Safety Agency. These
organizations help coordinate activities of navies, coast guards, harbor authorities,
transport and commerce ministries, fisheries agencies who compete for scarce financial
resources.
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10 Bates, E.A (2003)A Capability Maturity Model-based Approach to the Measurement of Shared Situation Awareness
,Pre-Conference Proceedings: Collaborative Decision-Support Systems, Focus Symposium: Baden-Baden, Germany.
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The CMM was used to rank Africa countries and then regression analysis was
computed to determine how well the variables of trust, networking, economic wealth and
corruption explained the variability in CMM ranking. In turns out that determinants of
trust, globalization, networking and economic wealth did not completely explain why
countries achieve a more secure maritime environment , because there are other factors
that are more difficult to capture in a scientific and analytic fashion, like the degree of
national will. Besides corruption, maritime investments are tempered by legal systems
that often are not equipped to prosecute maritime cases, a nations’ limited awareness
of the maritime domain coupled with a restricted understanding of the cost/benefit of
maritime investments generally leads to a truncated investment prioritization. However,
regardless of a nation’s other priorities, paradigm shifts in public awareness have been
stimulated by unexpected or catalytic events. In Senegal, for example, search and rescue
capabilities have become a priority in response to the 2002 capsizing of the transport
ferry, Le Joola, which resulted in the deaths of over 1,800 people. Another paradigm
shift occurred recently in Ghana when oil was discovered off the coast prompting the
Ghanaian government and public to consider the need to develop capabilities for oil
platform protection.
Surprisingly not only was there not a negative correlation between corruption
and regional maritime domain awareness, there exists a positive correlation. Nigeria
is an excellent example of where corruption is not a critical factor in achieving a
respectable maritime domain awareness capability maturity. In the Niger Delta some
of Nigeria’s well-placed, influential politicians and high-ranking military officers have
become “godfathers” of the militants and benefit from the spoils of piracy. As a result
there is no unity of political will to end piracy and illegal oil bunkering. The Nigerian
Navy is one of the largest Navies on the African continent, consisting of about 18,000
well trained personnel in the tradition of the British Navy, and has a relatively large
fleet including a recently delivered ex-United States Coast Guard cutter. They are a
professional navy, well organized to support maritime domain awareness and have
significant infrastructure most notably a robust coastal surveillance system. On the
other hand, it has been noted by the local press that it is not the absence of the law
that is the issue but its strict enforcement by those saddled with the statutory roles and
11 Jarvenpaa, S. L., K. Knoll, et al. (1998). “Is anybody out there? Antecedents of trust in global virtual teams.” Journal of
Management Information Systems 14(4): 29-64.
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responsibilities to do so. It is routine for officials to decide when to enforce the law and
how.
12 Jarvenpaa, S. L. and D. E. Leidner (1998). “Communication and trust in global virtual teams.” Journal of Computer‐
Mediated Communication 3(4)
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Abstract
I. Introduction
Although piracy – violent acts at sea carried out by malevolent actors – and
terrorism have common qualities, they have different elements in the legal arena. Laws and
policies seem to suggest that piracy and maritime terrorism are two distinct operations
and should be treated separately. At the moment, however, piracy may provide a breeding
ground for terrorism. This possibility must be addressed with the proper system of law
and criminal investigation and in the proper legal forum. It is important to understand
the distinction between piracy and maritime terrorism, as well as the effects of adoption
of countermeasures, from the viewpoint of long-lasting effects on international peace
and security. A seemingly random and convenient commingling of piracy and maritime
1 I would like to express my sincere thanks to the Multinational Maritime Security Center of Excellence, Turkey for
giving me an opportunity to speak at its Maritime Security Workshop in the context of NATO’s Smart Defence Initiative at
Aksaz Naval Base, Marmaris, Turkey in 2012. Special thanks are due to Rear Admiral Faruk Harmancik and Cdr. (TUR N)
Sumer Kayser and all the workshop participants for their valuable insights during my presentation. I also would like to thank
Attorney Jeannie Young for her valuable insights to this paper. I also am thankful to my research assistants Eric Loefflad and
Mary Rupert for their hard work, insight and support.
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terrorists may like to join piracy and terrorism to gain recruits by utilizing the social
and economic conditions of desperate people who are forced to commit piracy, turning
them toward the terrorists’ political and ideological causes.8 The fact of the matter is
that the desperate and deprived people of Somalia may not want piracy commingled
with terrorism. They may just want a peaceful and stable society that includes a
system of government under which they can live their lives with reasonable access to
opportunities. Once their social and economic conditions are elevated, piracy will, for
the most part, wither away.9 Considering these dynamics, piracy has moved into the
arena of politics, which raises many questions on the legal landscape and about policy
choices regarding piracy. The piracy-terrorism nexus is likely to be cemented as a legal
fiction either as a matter of political convenience or as a matter of emotional expression.
This article analyzes the existing system of international law relating to piracy
and what possible solutions may be found to address the problem of treating piracy
as terrorism. In doing so, it addresses the contrast between piracy and terrorism and
also notes how the United Nations Security Council has responded to the question of
piracy when it comes to the implementation of piracy law. Since the piracy-terrorism
nexus emerged from pirate activities off the coast of Somalia, this article’s concerns are
developed in the context of piracy in that country.
II.1. Piracy
Piracy has advanced from an old fashioned “sea-term robbery”10 to an act involving
automatic weapons, rocket-propelled grenades and global positioning devices. Modern
pirates have seized and controlled large tankers carrying oil or chemicals – cargoes
worth millions of dollars.11 Moreover, piracy is one of the oldest crimes to implicate the
dimension of international law due to the fact that it takes place upon internationally
8 See Gal Luft & Anna Korin, Terrorism Goes to Sea, 83 Foreign Affairs 61-71, 61 (Nov.- Dec. 2004) (Discussing the
dynamics of the nexus between piracy and terrorism and how terrorists use piracy in the high seas as a key tactic in achieving
objectives).
9 Acharya, supra note 5, at 97.
10 Edwin D. Dickinson, Is the Crime of Piracy Obsolete? 38 Harv. L. Rev. 334, 337 (1925) (quoting R v. Dawson, 13 How.
St. Tr. 451, 454 (1696)).
11 On November 5, 2005, pirates attacked the luxury cruise ship SEABOURN SPIRIT approximately 100 miles off the coast
of Somalia, Cruise Ship Repels Somali Pirates, BBC News (Nov. 5, 2005, 18:17 GMT), http://news.bbc.co.uk/2/hi/4409662.
stm.; On January 20, 2006, Somali pirates attacked the bulk carrier DELTA RANGER, firing upon it with AK-47s and RPGs,
On January 20, 2006, Somali pirates attacked the bulk carrier DELTA RANGER, firing upon it with AK-47s and RPGs; on
October 28, 2007, Somali pirates seized the GOLDEN NORI, a Japanese-owned cargo ship operating under a Panamanian
flag in the Gulf of Aden, Andrew Scutro, In Chasing Pirates, Navy Comes Full Circle, NavyTimes.com (Nov. 3, 2007, 15:12
EDT), http:// www.navytimes.com/news/2007/11/navy_pirates_071103w; On September 25, 2008, Somali pirates seized the
M/V FAINA, a Ukrainian freighter, Jarret Berg, Note, “You’re Gonna Need a Bigger Boat”: Somali Piracy and the Erosion of
Customary Piracy Suppression, 44 New Eng. L. Rev. 343, 351 (2010).
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This territory does not fall under the direct sovereignty of any one nation,13 yet
its stability and security is essential for the optimal functioning of the international
system due to its importance in facilitating trade, commerce and exchange.14 With this
as a preeminent concern, those who would disrupt the high seas assume the mantle of
enemy of all of nations since their actions have the potential to impact all such nations.15
In legal doctrine this unique threat of piracy translated into a designation of it as a
crime of jus cogens or universal jurisdiction,16 whereby any state can assert jurisdiction
over and punish all crimes designated as piracy, regardless of whether they, or their
immediate interests, are directly impacted.17
Currently there are five major piracy legal regimes in existence – the 1982 United
Nations Convention on the Law of the Sea (UNCLOS), the SUA Convention and its
Protocol, UN Security Council Resolutions, domestic legal frameworks and regional
arrangements. This article focuses on UNCLOS, the SUA Convention and UN Security
Council Resolutions. Domestic law and regional arrangements will be noted only where
appropriate.18
II.1.1.a. UNCLOS
The 1958 Convention on the High Seas and the 1982 UNCLOS contain identical
expressions of universal jurisdiction over high seas piracy.19 These conventions refer
12 Helmut Tuerk, The Resurgence of Piracy: A Phenomenon of Modern Times, 17 U. Miami Int’l & Comp. L. Rev. 1, 15-17
(2009) [hereinafter Tuerk 2].
13 United Nations Convention on the Law of the Sea, art. 2, Dec. 10, 1982, 1833 U.N.T.S. 3 (entered into force Nov. 16,
1994) [hereinafter UNCLOS].
14 See Tuerk 2, supra note 12; Tina Garmon, International Law of the Sea: Reconciling the Law of Piracy and Terrorism
in the Wake of September 11th, 27 Tul. Mar. L. J. 257, 259-60 (2002) (“As ninety percent of world trade is conducted through
maritime channels, states continue to have an interest in stopping piracy.”).
15 See Tuerk 2, supra note 12.
16 Id. (“Universal jurisdiction over piracy was accepted because pirates indiscriminately attacked all states’ ships and
constituted a threat to everyone. It was theoretically justified by applying to them the concept of hostis humani generis-
enemies of all mankind. Further-more, pirates were not subject to the authority of any state; no state could therefore be held
responsible under international law for their acts.”).
17 Id. (“The right to take enforcement measures against pirates is vested in all states; therefore, any of them has a right to
capture and punish pirates under its own municipal law, even when the accused pirate is not a national of the state and the
crime was neither committed against its nationals nor within its territorial waters.”).
18 However, for a review of domestic law regarding piracy, see U.N. Division for Ocean Affairs and the Law of the Sea,
National Legislation on Piracy, Oct. 26, 2011 available at: http://www.un.org/depts/los/piracy/piracy_national_legislation.
htm.
19 Convention on the High Seas, art. 14, Apr. 29, 1958, 13 U.S.T. 2312, 450 U.N.T.S. 11 (entered into force Sept. 30, 1962)
[hereinafter 1958 Convention]; UNCLOS, supra note 13, art. 2.
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to all states worldwide and not simply to states that are parties to either convention,
and the language of these conventions effectively recognizes the existence of universal
jurisdiction over piracy as a matter of customary international law and universal
jurisdiction.20 Article 15 of the 1958 Convention on the High Seas, and its wholesale
adoption as article 101 of UNCLOS in 1982, has largely settled the matter, at least with
regard to international treaty law.21
(a) any illegal acts of violence of depredation, committed for private ends of by
the crew or the passengers of a private ship or aircraft, and directed:
(i) on the high seas, against another ship or aircraft, or against persons or
property on board such a ship or aircraft;
(b) any act of voluntary participation in the operation of a ship or aircraft with
knowledge of facts making it a pirate ship or aircraft;
The UNCLOS definition under Article 101 has well documented that piracy
includes four elements: a restriction of the motivation of piracy to private ends,
geographical restrictions of piracy to the high seas, geographical restrictions on hot
pursuits of piracy is limited to the high seas, and a two-ships requirement excluding
internal seizure.
While this definition under UNCLOS served to consolidate and reduce the
nebulous perceptions of piracy that may have existed under customary international
law, problems of interpretation still remain.23 For our purposes the difficult concept is
the requirement that the objectives of piracy be committed for “private ends.”24 While
20 Though not a signatory to the 1982 Convention, the United States was a party to the 1958 Convention. Given the
customary law support for universal jurisdiction over piracy before 1958--which the United States had utilized in numerous
instances--and because the United States was a party to the 1958 Convention, it is certainly reasonable to assume that the
United States today accepts the principle of universal jurisdiction over piracy. See generally Kenneth C. Randall, Universal
Jurisdiction Under International Law, 66 Tex. L. Rev. 785, 800-15 (1988).
21 See 1958 Convention, supra note 19, art. 15; UNCLOS, supra note 13, art. 101.
22 UNCLOS, supra note 13, art. 101.
23 See Garmon, supra note 14, at 264-65.
24 Id. at 265.
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this definition of ‘private’ has been traditionally restricted to acts done for economic
gain, it has been suggested that such an interpretation is overly narrow and should
be expanded to include acts done for private ends that are also political, religious or
ideological, as opposed to merely economic in nature.25 Such a construction would turn
terrorist acts done at sea into acts of piracy whereby the international law of piracy
would have application.26 This generates the question as to whether this definitional
overlap between piracy and terrorism would cause actors within the international
community to respond to piracy in the same way that they respond to terrorism. While
such a uniform treatment of piracy and terrorism would certainly benefit those seeking
to advance their interests by offensively prosecuting both pirates and terrorists,27 it also
comes at the expense of the legitimacy of international law and the finding of long-term
solutions to the problems faced by the international system. It further ignores today’s
causal factors (social and economic) for pirates’ actions by bringing sea robbers into
political and ideological dynamics. It is clear as a matter of treaty law that the private
ends proviso of UNCLOS excludes acts of terrorism.
The other elements of piracy identified by UNCLOS may be less difficult for our
purposes, but relevant. UNCLOS’ geographic element recognizes that piracy occurs
only in the high seas and excludes acts occurring in internal waters or territorial waters,
including exclusive economic zones. The doctrine of sovereignty is the main factor
behind this provision.28 This provision may nonetheless provide a basis for deeming
acts occurring in territorial waters to be piracy.29 This issue was presented by the Somali
case, and the UN Security Council passed a resolution to address this problem that
authorized the international force patrolling the Gulf of Aden to enter the territorial
waters of Somalia to repress acts of piracy.30 Similarly, hot pursuit, the next element, is
not a problem under UNCLOS, unless it is a reverse hot pursuit into territorial waters.
This restriction on hot pursuit into territorial waters (reverse hot pursuit) could make
territorial waters of a state a pirate sanctuary if territorial waters are poorly monitored
and patrolled.31 However, UN Security Council Resolution 1816 allowed reverse pursuit
in Somali territorial waters by specifically mentioning that the permission shall not
be considered as establishing customary international law.32 Another element of the
25 Id; see Malvina Halberstam, Terrorism on the High Seas: The Achille Lauro, Piracy, and the IMO Convention on
Maritime Safety, 82 Am. J. Int’l L. 269, 272 (1998).
26 Id.
27 Tuerk, supra note 2 (“From the point of view of prosecuting the offenders, there is an advantage to qualifying acts of
maritime terrorism as ‘piracy’- especially given the Achille Lauro incident.”).
28 UNCLOS, supra note 13, prmbl.
29 See Martin Murphy, Piracy and UNCLOS: Does International Law Help Regional States Combat Piracy?, Violence at
Sea: Piracy in the Age of Terrorism 163 (Peter Lehr, ed., 2007) (“If piracy is a universal crime, then it should merit a universal
response.”).
30 S.C. Res. 1816, P 7, UN Doc. S/RES/1816 (Jun. 2, 2008) [hereinafter “S.C. Res. 1816”].
31 Eugene Kontorovich and Steven Art, An Empirical Examination of Universal Jurisdiction for Piracy, 104 Am. J. Int’l L.
436, 444 (2010).
32 S.C. Res. 1816, supra note 30.
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In 1988 the SUA convention was created, entering into force in 1992,37 and later
supplemented by an additional protocol in 2005 that broadened the provisions to include
offshore platforms.38 The necessity for such a convention was made apparent after the
internal hijacking of the Italian cruise liner Achille Lauro in 1985.39 The United Nations
General Assembly responded with Resolution 40/61, which condemned terrorism
wherever committed and called upon the IMO to research the issue of terror at sea.40
The ultimate result was the SUA Convention that, while made in response to terrorism,
does not define terrorism or piracy.41
33 UNCLOS only requires that its signatory countries cooperate in anti-piracy measures on the high seas not elsewhere. Nor
does it specify any mechanism for state parties to carry out their responsibilities to suppress piracy under article 100. Similarly,
it does not deal with conspiracy and soliciting piracy. Attempted piracy does not fall within the UNCLOS. UNCLOS, supra
note 13.
34 Upendra D. Acharya, War on Terror or Terror Wars: The Problem in Defining Terrorism, 37 Denv. J. Int’l L. & Pol’y 653,
655-57 (2009) (“In the absence of a definition there is a free and open tendency for the persons using the term, whether states,
organized groups, or scholars, to define it as suits their purposes at the moment, leading to uncertainty as to how to function
a legal structure to address terrorism.”).
35 Dr. Ranee Khooshie Lal Panjabi, The Pirates of Somalia Opportunistic Predators or Environmental Prey?, 34 Wm. &
Mary Envtl. L. & Pol’y Rev. 377, 446-48 (2010).
36 Id. at 408-10; Acharya, supra note 34 at 678-79 (“The concept of the war on Terror, particularly after 9/11, has emerged
in a form in which only failed states and less powerful and resourceful people engage in the act of terrorism, a form in which
(self-styled) civilized nations will never employ terrorism or engage in terrorist activities.”).
37 Tuerk, supra note 2, at 345-46.
38 Id. at 357-58.
39 Id. at 338-39.
40 Id. at 340.
41 Douglas Gulifolye, Treaty Jurisdiction over Pirates: A Compliation of Legal Texts with Introductory Notes, 12-13 (2009),
available at: http://www.academia.edu/195470/Treaty_Jurisdiction_over_Pirates_A_Compilation_of_Legal_Texts_with_
Introductory_Notes
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A motivator behind the formation of the SUA Convention was the inapplicability
of the existing laws of piracy to situations like that of the Achille Lauro that did not
meet the two-vessel requirement (the hijackers did not board from another vessel)
and the private ends requirement (the hijackers’ motivation was political) mandated
by the UNCLOS definition.42 Article 3 of the SUA Convention contains numerous
provisions for illegal acts under the treaty that include seizure of a ship through force
or intimidation, violence against those on board a ship, the placement of destructive
devices on a ship, and attempting, abetting, or threatening any these actions.43 While the
SUA Convention lists the substantive offenses, it makes no mention of any requirement
of private or political motivations of the offenders.44 As a result the actions of pirates
may fall within the Convention’s provisions.45
While the SUA Convention does not distinguish between pirates and terrorists,
this failure should not be interpreted as an elimination of the difference between the
two under international law. The factual background to the SUA Convention clearly
demonstrates that the treaty was intended to address terrorism. In addition to the issues
of the international response to the inadequacy of the definition of piracy as applied to
incidents like the Achille Lauro,46 there is also the fact that terrorism is mentioned in the
preamble of the SUA Convention47 and the fact that the SUA is very close in structure
to preexisting treaties made in response to terrorism that concern the hijacking of
aircraft.48
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Unlike UNCLOS, the SUA Convention does not allow for the exercise of universal
jurisdiction; only signatory states may prosecute violations of the SUA Convention,
and these states need some nexus to the offense in order to do so.56 Specifically, a state
may prosecute offenses under the SUA Convention provided that (1) the offense was
against a ship flying its flag, (2) the offense occurred in its territory, (3) the offense was
committed by a national of the state, or (4) a national of the state was a victim of the
offense.57 Therefore, if a signatory state with the required nexus to the offense does not
prosecute, or if the states with a nexus to the offense are not signatories to the SUA
Convention, SUA violators or maritime terrorists will go unpunished notwithstanding
the SUA Convention’s increased territorial jurisdictional realm.58
All things considered, the lack of distinction between acts of piracy and terrorism
under the SUA Convention is yet another example of lack of clarity in international law
due to the difficulty in defining terrorism.59 In a world faced with both the resurgence
of piracy and the ever-mutating threat of terrorism, a comprehensive international legal
regime dealing with these issues is immensely desirable. This is not to deny the existence
of overlapping actions and law concerning these two practices, but these overlaps are
best understood if the particular legal, historical and social contexts of piracy and
terrorism are first identified. Until the international community finds itself prepared to
engage in the sober and reflective task of defining terrorism (and giving an actual effect
to this definition), this hope remains an elusive prospect.
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U.N. Security Council resolutions are binding international legal norms under the
U.N. Charter. As a key part of the counter-piracy strategy, the U.N. Security Council has
passed a series of resolutions to provide legal authority to address the piracy problem.
In 2008 alone, the U.N. passed five resolutions on Somali piracy.
On May 15, 2008, the U.N. Security Council passed Resolution 1814, which was
designed to promote peace and stability in Somalia by relocating the U.N. Political
Office for Somalia and to take measures against those “who seek to prevent or block a
peaceful political process.”60 While this resolution did not explicitly mention piracy, it
paved the way for the following Resolution 1816 of June 2, 2008, which expressed grave
concern over “the threat that acts of piracy and armed robbery against vessels pose[d]
to the prompt, safe and effective delivery of humanitarian aid to Somalia, the safety of
commercial maritime routes and to international navigation.”61 In Resolution 1816, the
Security Council affirmed the legal framework applicable to piracy in UNCLOS and
reaffirmed that “the relevant provisions of international law with respect to the repression
of piracy . . . provide guiding principles for cooperation to the fullest possible extent in
the repression of piracy on the high seas or in any other place outside the jurisdiction of
any state.”62 Further, it determined that these acts of piracy were “a threat to international
peace and security.”63 Resolution 1816 used the term “all necessary means,”64 which is
generally indicative of the use of force under the U.N. Charter.65 In fact, the crux of this
resolution is to take the broadly recognized UNCLOS provisions for addressing piracy
on the high seas and apply them within the territorial waters of Somalia.
On October 7, 2008, the U.N. Security Council passed Resolution 1838, calling
upon states “to take part actively in the fight against piracy on the high seas off the
coast of Somalia.”66 It also called upon states to repress acts of piracy in accordance with
international law.67
On November 20, 2008, the U.N. Security Council passed Resolution 1846 with
the request of the TFG to allow multilateral efforts to suppress piracy.68 This resolution
called on “States . . . with relevant jurisdiction under international law and national
60 S.C. Res. 1814, PP2, 4, 6, U.N. Doc. S/RES/1814 (May 15, 2008).
61 S.C. Res. 1816, supra note 30, prmbl.
62 Id.
63 Id.
64 Id.
65 Nico Schrijver, The Future of the Charter of the United Nations, Max Planck Yearbook of United Nations Law, Volume
10, 1-34, 20 (Armin von Bogdandy, et al eds., 2006) (“The diplomatic phrase of with ‘all necessary means’ has become a
euphemism for authorizing Member States to use force”).
66 S.C. Res. 1838, P2, U.N. Doc. S/RES/1838 (Oct. 7, 2008).
67 Id.
68 S.C. Res. 1846, prmbl., P10(b), U.N. Doc. S/RES/1846 (Dec. 2, 2008).
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All these piracy-related U.N. resolutions indicate that modern day piracy
could be a threat to international peace and security and should be dealt with in a
multilateral fashion. However, none of the resolutions suggests that piracy is an act
of terror. They neither used the term ‘terrorism’ nor made any effort to commingle
piracy with terrorism.
The domestic law of the United States, the country that declared a global war on
terror, defines ‘terrorism.’ Under U.S. domestic law, there are two statutory definitions
69 Id.
70 Acharya, supra note 34, at 656-57.
71 Id. at 658-59; See M. Cherif Bassiouni, International Terrorism: Multilateral Conventions 1937-2001 (Hotei Publishing
2001); see also M. Cherif Bassiouni, Legal Control of International Terrorism: A Policy-Oriented Assessment, 43 Harv. Int’l
L. J. 83, 91 (2002).
72 Acharya, supra note 34, at 678-79.
73 Id. at 669-71.
74 Garmon, supra note 14, at 270.
75 Id.
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of terrorism. First, in the context of federal crimes, Title 18 of the U.S. Code provides
definitions for both international and domestic terrorism, which are identical but for
the locus of the offenses.76 Regarding intent, both definitions require that the acts in
question “appear to be intended (i) to intimidate or coerce a civilian population; (ii) to
influence the policy of a government by intimidation or coercion; or (iii) to affect the
conduct of a government by mass destruction, assassination, or kidnapping.”77 Second,
for purposes of establishing a requirement that the United States Department of State
produce annual country reports on terrorism, Title 22 of the U.S. Code provides a
terse definition of terrorism: “premeditated, politically motivated violence perpetrated
against noncombatant targets by subnational groups or clandestine agents.”78 Further,
in connection with this annual country report requirement, international terrorism is
defined simply as “terrorism involving citizens or the territory of more than 1 country.”79
Despite the apparent differences between these statutory definitions in the U.S.
Code, a consistent elemental theme between them is the requirement that the act be
accompanied by some political intent.
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surveillance and armed security forces, all of which would make piracy substantially
more difficult.84
Perhaps a good analogy to the material difference between pirates and terrorists
is through microbiology. While terrorists operate in a way similar to viruses, pirates
behave more like bacteria.
A virus reproduces by taking over the genetic encoding mechanism of a host cell
and alters it in a way that forces it to produce the invading virus’ particular sequence of
DNA or RNA instead of its own genetic codes.85 As a result, the cell dies, new viruses
emerge and the viruses continue to multiply.86 Terrorism functions in a similar way
by using the global system’s media and information-disseminating network to bring
the world’s attention to a terrorist group’s actions and consequentially its political/
ideological message to those sympathetic with it.87 For every prominent terrorist act
of violence, destruction or intimidation, numerous headlines, news stories and blog
entries are generated and used to inform millions worldwide.88 The intended net effect
of this mass media dissemination is to strike fear in the hearts of those opposing the
cause while solidifying the convictions of the receptive.89 Much like a virus uses the
genetic replicating mechanism of a host cell to multiply and carry out its mission,
terrorists have become adept at using global mass media as a similar host for ideological
reproduction. Anthropologist and terrorism expert Scott Atran states that even after
actual organizations have been defeated, the ideological virus they promoted can
continue to spread.90 Atran explains that the organization of Al Qaeda may have been
critically disrupted by the invasion of Afghanistan, “[b]ut the viral movement continues
to fester among immigrant youth in Europe, and to spread in places like Yemen, Somalia,
the Sahel, and the World Wide Web….”91
Unlike a virus, a bacterium does not take over a host cell in order to replicate,
but rather is a self-replicating organism that requires specific environmental conditions
in order to thrive.92 In terms of the human body as an environment, some bacteria are
84 Id. at 21.
85 James M. Steckelberg, M.D., What’s the difference between a bacterial infection and a viral infection?, Oct. 8, 2011
available at: http://www.mayoclinic.com/health/infectious-disease/AN00652.
86 Id.
87 See Brigitte L. Nacos, Mass-Mediated Terrorism: The Central Role of the Media in Terrorism and Counter Terrorism
(2nd ed. 2007) (Giving an overview of how terrorist and antiterrorists have used different media methods such as the internet
and television).
88 Scott Atran, The Terror Scare, Dec. 30, 2009 available at: http://www.huffingtonpost.com/scott-atran/the-terror-
scare_b_407227.html
89 See Emanuel Gross, The Laws of War Waged Between Democratic States and Terrorist Organizations: Real or Illusive?
15 Fla. J. Int’l L. 389, 465 (2003).
90 Scott Atran, Talking to the Enemy: Religion, Brotherhood, and the (Un)Making of Terrorists, 98 (2010).
91 Id.
92 Steckelberg, supra note 85.
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indispensable, others are benign, and still others are actively harmful.93 If our global
system is to be analogized to a human body, piracy represents a particularly harmful
strain of bacteria. The specific conditions under which piracy bacteria can reproduce
and thrive are exquisitely met in Somalia and its coastal territory.94 Whereas inhibitors
of the piracy bacteria are normally present in the form of a stable government, effective
law enforcement and accessible legitimate opportunities for economic and social
advancement, these conditions are almost universally absent in Somalia.95 In addition
to these absences, Somalia contains a population with significant nautical skill (largely
rendered inapplicable for traditional subsistence purposes due to environmental
degradation), a massive proliferation of weapons and an unimaginable amount of
desperation.96 These pirate-proliferating conditions do not die with individual pirates.97
Somalia, in its present state of disorder and chaos, is to the bacteria of piracy what an
unsterilized open wound in the tropics is to the bacteria harmful to the human body--
an ideal breeding ground.
This microbiological analogy helps us recognize the approaches that are likely to be
effective in dealing with piracy and terrorism, as well as the dangers of conflating the two.
The distinction between piracy and terrorism in the Somali context goes beyond
mere legal and theoretical discourse. A factual application shows that the pirates of
Somalia have been acting in ways consistent with the contemporary definition of piracy
under international law. This correlation exists despite the fact that certain interest
groups, such as shipping corporations and the nations whose trade and commerce are
impacted, would likely define piracy as a type of terrorism.98
IV.2. Motivations
A massive driving force behind the surge in Somali piracy has been the degradation
of the nation’s coastal environment by foreign entities overharvesting marine resources
93 Germs: Understand and protect against bacteria, viruses and infection, April 30, 2011 available at: http://www.
mayoclinic.com/health/germs/ID00002
94 Ranee Khooshie Lal Panjabi, supra note 35 (highly comprehensive overview of Somalia’s descent into chaos with
significant attention also paid to the environmental devastation of Somalia’s coastal ecosystem).
95 Id.; Nelson, supra note 82, at 19 (Here there is a presentation of “seven factors that contribute to piracy: ‘(1) legal and
jurisdictional weakness; (2) favorable geography; (3) conflict and disorder; (4) underfunded law enforcement/inadequate
security; (5) permissive political environments; (6) cultural acceptability/maritime tradition; and (7) promise of reward.’”
(quoting Martin Murphy, Small Boats, Weak States, Dirty Money: Piracy and Maritime Terrorism in the Modern World, 28
(2008))).
96 Acharya, supra note 5, at 82-85.
97 See Ranee Khooshie Lal Panjabi, supra note 35, at 399 (“The lack of feasible economic options and a state awash in
firearms can be a deadly combination.”).
98 Id. at 408.
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and dumping toxic chemicals.99 This has had the effect of destroying the subsistence
lifestyle of many Somalis living on the coast who once made a living fishing for the
marine life that has either been swept away by trawlers or killed by pollutants.100 Faced
with this, many turned to piracy as a means of support for “[t]he plunder and destruction
of their environmental resources left them with few alternatives.”101
This course of action is entirely consistent with the private ends requirement
set forth in the UNCLOS definition of piracy under Article 101,102 due to the fact that
normal economic/material sustenance has been made far more difficult for many in
coastal Somalia to obtain, and the criminal activity of piracy proved to be a lucrative
substitute.103 While it can be said that this initial undertaking of pirate activities
contained an element of vigilantism that could be interpreted as the political motivation
(with vigilante fleets with names like the “National Volunteer Coast Guard of Somalia”)
of protecting Somali waters from destructive foreign interference, the motivation still
remains within the realm of ‘private ends’ since the underlying drive was merely to
satisfy basic, and ultimately, private material needs.104 The driving force behind the
piracy never morphed into anything overwhelmingly political in nature, and tactics
associated with terrorism have not been observed.105 While the piracy situation did
morph, a transition from private ends to political objectives did not occur--rather, the
situation changed to include not only impoverished people seeking essential needs, but
also criminal warlords, active since the collapse of the Somali, seeking greater rewards
of illegal activity.106 This is an intensification of seeking to attain private ends through
piracy, not an elimination of it.
Different objectives may be the truly distinguishing feature between piracy and
terrorism, but differences in targets and methods are also highly relevant in assessing
which category an act belongs to. As far as piracy is concerned, pirates typically seek the
weakest possible ships.107 The ease with which a ship is captured, boarded and ransomed
is an essential element of risk-benefit calculation that presumes a rational approach to
attaining quantifiable goals. This rational actor view of piracy comports strongly with the
99 Id. at 425 (“The deliberate and callous destruction of Somalia’s ocean ecology and the resulting threat to a vital food
source so important for a country that lives on the edge of incessant famine is almost beyond comprehension.”).
100 Id. at 438 (“Helplessly seeing their fish disappearing into foreign trawlers that also destroyed the vital coral and ocean
plant life, several fisherman sought the far more lucrative, albeit dangerous, world of piracy.”).
101 Id.
102 See Garmon, supra note 14 at 264-65.
103 Ranee Khooshie Lal Panjabi, supra note 35 at 438-42.
104 Id. at 439.
105 Id. at 408.
106 Id. at 443 (“It is quite obvious that the enormous ransoms acquired by the pirates of Somalia are luring increasing
numbers of predators to this type of very lucrative criminal activity.”).
107 Nelson, supra note 82 at 17.
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notion that private ends in the context of piracy are, and should be, defined as economic
ends.
The targeting and methods employed by terrorists are substantially and materially
different from the tactics utilized by pirates. A target is chosen by a terrorist group for
its ability to further the terrorists’ particular political goals.108 As a result, when it comes
to maritime terrorism, “targets that are chosen by terrorists fall into four categories: ‘(1)
ships as iconic targets; (2) ships as economic targets; (3) ships as mass casualty targets;
(4) ships as weapons.’ ”109 Additionally, terrorists are less likely to physically board the
ship and more likely to damage or destroy a ship as a means of bringing attention to
their political message.110 Such an act of destruction is a clear manifestation that any
private economic gains, sought by pirates, are of little or no concern to terrorists.
The fear that pirates and terrorists will join forces and coordinate their efforts to
both increase their respective funding and catastrophically disrupt the global system is
persistent in the Western World.114 However, while pirates and proponents of the strain
of extremist political Islam influenced by the al Qaeda creed are both active in Somalia,
there have been no recorded instances of coordination between these two groups and
various factors weigh against this occurring.115 Also, the present circumstances of both
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groups in Somalia do not suggest this feared collusion will occur within the foreseeable
future116. However, due to the chaos in Somalia today, predictions are of limited value.
In terms of usage of the spoils of the attacks, many pirates in Somalia have used
their proceeds to fund a lavish lifestyle.117 The port town and pirate hotspot of Eyl bears
testament to this.118 Here former subsistence fishermen and villagers who have been
successful as pirates can be seen driving expensive cars, hosting decadent parties and
marrying beautiful girls.119 Such a scene far more strongly resembles a rags-to-riches
Hollywood gangster film than a remote al Qaeda training facility. Were pirates to
collude with terrorists, they would have to be prepared to share some of this ill-gotten,
yet hard-won, wealth in addition to assuming the risks of detection and prosecution
they would face working with terrorists.120
Also, there is the fact that perhaps the only forces from within Somalia who have
done anything to combat pirates have been groups linked to al Qaeda.121 Dr. Ranee
Khoosie Lal Panjabi, in a wide-ranging assessment of Somalia and Somali piracy, states
that “[w]ith respect to the subject of piracy, it is worth noting that while it held power,
the Islamic Courts Union took steps to curb the pirates and launched military campaigns
against pirate strongholds.122 Piracy was declared a capital offense, and beheading was
the punishment. It is also worth noting that no other Somali authority appears to have
exercised any effective control over piracy.”123 Such findings, at a minimum, show that
pirates and terrorists can be readily distinguished as actors and, at most, show that the
fears concerning collusion are yet another exercise in the paranoid construction of
‘super-enemies.’124
However, as we know from the situation in Somalia, the chaos, anger, desperation
and widespread availability of weapons has the potential to produce almost any imaginable
horror. The notion of terrorists and pirates staging devastating attacks against one of the
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world’s most vital sea-lanes is certainly horrific.125 Yet experience has also taught that the
only successful action so far in uniting Somalia’s warring factions has been international
intervention.126 Were the Western powers to invade Somalia in some extended theater of
the War on Terror (which would also include pirates presumably), there is no indicator
they would be any more successful than they were in Afghanistan. What we can observe
is that forces in Somalia are succeeding in bringing about conditions for the flourishing
of both Islamic extremists and pirates. By understanding the proper motivation, causes,
and methods for action under international law of terrorism and piracy as two distinct
actions, the global community can gain valuable tools to combat both, as well as tools to
address the tragic situation in Somalia.
VI. Conclusion
The UNCLOS legal framework, SUA Convention and U.N. Security Council
resolutions clearly solidify the conclusion that both piracy and terrorism pose grave
international threats – threats that differ in nature, purpose and outcome. The crimes
are independent in terms of both motive and method, and both deserve a similar
independence in treatment within the system of law. Public choice theory also suggests
that piracy has a narrower and more limited scope in terms of impact than terrorism,
and should therefore be treated accordingly. Piracy, as it is already a grave crime, does
not need the terrorism label to be seen as a grave crime worthy of a multilateral response.
The Somali case has already proven this fact. The acts of piracy committed off the coast
of Somalia have been rightly treated as piracy, not as terrorism, by the UN and other state
actors. International treaty and customary law provides for a narrow basis under which
pirates can be apprehended on the high seas or, if necessary, elsewhere. Recent United
Nations Security Council Resolutions have further expanded this basis for the capture of
Somali pirates even within territorial waters, but these resolutions apply only to Somalia
and will not be useful in fighting piracy anywhere else in the world. It is clear within the
existing legal arrangements that motivational factors, targets and objectives of pirates
(pursuit of financial gain) differ from those of terrorists (means to achieve a political or
ideological objective). It would be wise to recognize a duty to understand and address
these two theoretically independent acts separately. Comingling piracy and terrorism
will not only produce unnecessary complications in terms of policy development but
also may complicate maritime security with a confused approach and an unmanageable
process. The purpose of law is not and should not be to bring all desperate people who
are inclined to piratical activities due to their socio-economic conditions within the
umbrella of terrorism. It is important that the international community understand
that the factors that give rise to piracy must be addressed properly and consistently. A
solution that is derived from emotional reactions or conceived as a convenient short-
125 Ranee Khooshie Lal Panjabi, supra note 35, at 408 (“Somalia’s location on the Horn of Africa makes it an expedient
gateway to other Arab states and Europe. Somalia could thus become a convenient stopover for terrorists planning to attack
European and North American targets. Additionally, the prevailing lawlessness in the country could enable terrorists to
acquire weapons easily and to use Somalia as a base from which to launch attacks against the West.”).
126 Id. at 413.
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term policy tool, based on a piracy-terrorism nexus, could result in policy, procedural,
scope and ultimately legal disasters. Undoubtedly, piracy is a problem that threatens
international trade, commerce, peace and stability, but it can be resolved independently
with proper legal and tactical mechanisms. If we continue to pursue a policy based
on a perceived nexus between piracy and terrorism, this course will, on the one hand,
incentivize terrorists to bring pirates under their umbrella, and, on the other, encourage
pirates to transform themselves from criminals pursuing ‘private ends’ (material gain)
into criminals pursuing political and ideological causes. This transformation would
have a gravely detrimental impact on national and international systems of governance,
their apparatus and their resources.
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Abstract
I. Introduction
International migration have been a constant fact of human life. It is obvious that
it will be so in the future. For example, Migration has started to pick up again, driven
largely by people moving within the European Union, after three years of continuous
decline during the crisis. But the employment prospects for immigrants have worsened,
with around one in two unemployed immigrants in Europe still looking for work after
more than 12 months, according to the latest OECD report. The 2013 International
Migration Outlook says that migration into OECD countries rose by 2% in 2011 from
the previous year, to reach almost 4 million. Recent national data suggest a similar
increase in 2012.1
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Countries have their own system of measuring migration, based on their own
particular requirements.However, it is possible to make some estimations. According
to the data provided by the World Bank the numbers of international migrants have
been estimated as 180 million. (The World Bank, Global Bilateral Migration Data Base)
This is almost equal to the three per cent of the world’s population. These migrants
are living in countries other than their countries of birth. Such movement of people
across international borders has enormous economic, social, demographic and cultural
implications for both home and host countries. Furthermore, increasing numbers of
people on move at international level requires an international cooperation amongst the
states, international governmental organizations and non-governmental organizations
more than ever.
The study is finalised with a short conclusion at the end. However, it should be
noted that the topic of this study is a big one and is receiving more and more attention of
the world public opinion. On the other hand, it is a highly politicized issue. It seems so
that international irregular migration will rise to higher degrees in world political agenda.
Especially, the EU-wide concerns about irregular migration is growing. Nevertheless, it
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Global Maritime Security: New Horizons
This study aims, in general to make contribution to the literature with a humble
effort to establish both artificial and real links between international security studies
and international irregular migration by sea.
II.1. Definitions
“(a) Persons who are outside the territory of the State of which their are
nationals or citizens, are not subject to its legal protection and are in the territory
of another State;
(b) Persons who do not enjoy the general legal recognition of rights which
is inherent in the granting by the host State of the status of refugee, naturalised
person or of similar status;
(c) Persons who do not enjoy either general legal protection of their
fundamental rights by virtue of diplomatic agreements, visas or other agreements.”
3 UNESCO, http://www.unesco.org/new/en/social-and-human-sciences/themes/international-migration/glossary/
migrant/
4 UNESCO, http://www.unesco.org/new/en/social-and-human-sciences/themes/international-migration/glossary/
migrant/
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However, the above mentioned first definition may be a too narrow definition.
According to some states’ policies, a person can be considered as a migrant even when s/
he is born in the country. According to the IOM, migration is defined as “the movement
of a person or a group of persons, either across an international border, or within a
State. It is a population movement, encompassing any kind of movement of people,
whatever its length, composition and causes; it includes migration of refugees, displaced
persons, economic migrants, and persons moving for other purposes, including family
reunification.”5 In general it is possible to claim that international migration involves
the movement of people across state boundaries. In contrast to internal migratory
movements, international migrants leave the jurisdiction of one state and become
subject to that of another.
There are several ways that international migrants are normally categorized. One
most common distinction is made between voluntary and forced migrants. Forced
migrants are people who have been forced to leave their own country for another,
because of conflict, persecution, or for environmental reasons such as drought or
famine. These people usually described as refugees although the term refugee has a very
specific meaning and does not include all forced migrants.
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The term “irregular” is more accurate and less deregatory than “illegal” when
talking of migrants. The concept of irregular migrants covers a vide range of people,
principally migrants who enter a country without documents or with forged documents;
or migrants who enter legally but then stay after their visa or work permit has expired.
It is more or less impossible to enumerate accurately irregular migrants worldwide, but
is sure is that there are far more legal migrants than irregular migrants.
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Global Maritime Security: New Horizons
term “irregular” is preferable to ‘illegal’ because the latter carries a criminal connotation
and is seen as denying migrants’ humanity.”11
Furthermore, the term “illegal” has connotation with criminality. Most irregular
migrants are not criminals, although by definition most have breached administrative
rules and regulations.
The two other terms that are often used in this context are “undocumented”
and “unauthorized.” Undocumented is sometimes used to denote migrants who have
not been documented (or recorded) and sometimes to describe migrants without
documents (passports or work permits, for example). All irregular migrants are not
unauthorized.
While some irregular migrants might have entered their country of destination
secretly the others have not. However, they may become irregular after crossing the
frontier for some reason. They include:
It is obvious that status of a migrant can change overnight. A migrant can enter a
country in an irregular fashion, but then regularize their status, for example by applying
for asylum or entering a regularization programme. Conversely, a migrant can enter
regularly then become irregular when they work without a work permit or overstay visa
and for above mentioned reasons.
There are important regional differences in the way that the concept irregular
migration is applied. In Europe, for example, where the entry of people from outside
11 IOM, Key Migration Terms, http://www.iom.int/cms/en/sites/iom/home/about-migration/key-migration-terms-1.
html#Migration
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the EU is closely controlled, it is relatively easy to define and identify migrants with
irregular status. That is not the case in many parts of Africa, where borders are porous,
ethnic and linguistic groups straddle state borders, some people belong to nomadic
communities, and many people do not have proof of their place of birth or citizenship.
As Koser stated “migrants who move in an irregular way leave their countries
for exactly the same motivations as any other migrants. More people than ever before
want to move, but there are proportionately fewer legal opportunities for them to do so.
The reason that increasing numbers of migrants are moving in an irregular rather than
illegal way is mainly because of increasing restrictions on legal movements, mostly in
destination countries. 12
Almost every country on earth is, and will continue, to be affected. According to
Stephen Castles and Mark Miller, authors of the book The Age of Migration :
These facts and figures convey a striking message, and that is that international
migration today effects every part of the world. Movements from “South” to “North”
have increased as a proportion of global migration. There are powerful reasons why
people should leave poorer countries and head for richer ones. At the same time, it is
important to not to ignore the significant movements that still take place within regions.
Elspeth Guild correctly states that “…like blowing up a baloon, the greater
the insecurity concerns presented by political actors, the bigger the security issues…
Migration studies has a similar tendency-the bigger the migration flows, the wider
the scope for migration studies…In effect, what happens is that, foreigners, described
in various different ways (migrant, refugee, etc.) become cought in a continuum of
insecurity.”14
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Global Maritime Security: New Horizons
and a focus on human rights and protection. Influenced by counter terrorism, migration
policies have increasingly shifted from protection towards law enforcement. States have
deployed many new tools to deter entry – defensive walls and barriers; demanding and
expensive visa requirements; carrier sanctions; militarised border controls; detention;
retinal and other biometric scanning techniques; international computerised data storage
– and created new institutions and laws to strengthen intergovernmental regulation.
These include the UN Convention against Transnational Organized Crime (UNCTOC,
2000), the International Convention on the Protection of All Migrant Workers and
Members of Their Families (ICRMW, 2003), The Global Forum on Migration and
Development (GFMD, 2007), and Regional Migration Consultative Processes (RCPs).
These initiatives indicate the growing importance of migration on the international
agenda. Besides the dimensions and changing geography of international migration,
there are at least three trends that signify an important departure from earlier patterns
and processess.15
Especially after 9/11 there has been a perception of a close connection between
international migration and terrorism. Irregular migration which appears to be growing
in scale in many parts of the world, is sometimes regarded by politicians and the public
alike as a threat to national sovereignty and public security. Since 9/11 migrants’ rights
have further been eroded. Irregular migration became a focus of new global security
paradigm. Unfortunately, it has been used to legitimize some measures that have been
considered inappropriate before 9/11.16
Second, irregular migrants are often imputed with tainted intentions without
any substantion. Two particularly frequent assumptions are that irregular migrants
participate in illegal activities and that they are associated with spread of disease. Both
15 ICHRP, http://www.ichrp.org/files/summaries/41/122_pb_en.pdf, p.4
16 Crepaw and Nahache, 2006, p.4
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It is true that irregular migration can threaten state security, but this is usually
in ways other than by its association with terrorism or violence. Where it involves
corruption and organized crime, irregular migration can become a threat to public
security. This is particularly the case where illegal entry is facilitated by migrants
smugglers and human traffickers.
Smuggled migrants are often subject to grave human rights abuses. During
the trip, people might be squeezed into exceptionally small spaces in trucks or onto
unseaworthy boats in order for smugglers to maximize their “cargo”. Migrants might
be raped or beaten en route or left to die. Once they reach their destination, many
find that they (or their families) are the victims of blackmail or debt bondage. The
latter can involve migrants paying huge sums of money to criminals in order to settle
near-impossible levels of debt out of fear of violence or fear of being deported by the
authorities, which can result in them becoming victims of human trafficking.
The smuggling of migrants and the activities related to it cost many people their
lives and generate billions of dollars in profit for criminals. They also fuel corruption
- through the bribery of officials - and strengthen organized crime in the countries of
origin, transit or destination. There is evidence suggesting that, with the ever-growing
interdependence of the global economy, the involvement of criminal groups in the
smuggling of migrants is on the rise.17
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Global Maritime Security: New Horizons
Attempting to isolate the issue of migrant smuggling by sea from other forms
of migrant smuggling is in some ways an artificial and potentially misleading exercise.
Migrant smuggling by sea generally occurs as part of a wider smuggling process often
involving land and/or air movements. Furthermore, the complex nature of criminal
migrant smuggling networks and their modus operandi means that smugglers who use
sea routes cannot be identified purely by looking to the sea; the transnational criminal
network itself must be traced from a smuggling vessel, back to the coast of embarkation,
and from there back to countries of transit and origin.
The specific nature of the sea‐based component of the smuggling journey resulted
in a dedicated section on the issue in the Migrant Smuggling Protocol, supplementing
18 UNODC, https://www.unodc.org/unodc/en/human-trafficking/smuggling-of-migrants.html?ref=menuside
19 Burgess, 2007, p.6
20 Koser, 2007, p.62
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the United Nations Transnational Organized Crime Convention (UNTOC). The unique
challenges involved in addressing the crime also inspired Resolution 5/3 of the 5th
Conference of Parties to the UN Convention against Transnational Organized Crime,
in which States Parties request UNODC to prepare an Issue Paper on the topic. This
Issue Paper is offered in response to that request, in the hope that readers will consider
the issues addressed herein in the wider context of migrant smuggling, which is a
transnational crime that transcends land, air and sea borders, and requires a response
that does likewise.
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“enabling a person to remain in a country where the person is not a legal resident
or citizen without complying with requirements for legally remaining by illegal means”
in order to obtain a financial or other material benefit.
The Protocol against the Smuggling of Migrants by Land, Sea and Air, adopted by
General Assembly resolution 55/25, entered into force on 28 January 2004. It deals with
the growing problem of organized criminal groups who smuggle migrants, often at high
risk to the migrants and at great profit for the offenders. A major achievement of the
Protocol was that, for the first time in a global international instrument, a definition of
smuggling of migrants was developed and agreed upon. The Protocol aims at preventing
and combating the smuggling of migrants, as well as promoting cooperation among
States parties, while protecting the rights of smuggled migrants and preventing the
worst forms of their exploitation which often characterize the smuggling process.
21 UNODC, https://www.unodc.org/unodc/en/treaties/CTOC/index.html
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The UNODC Issue Paper which was entitled as “Smuggling of Migrants By Sea
reveals that there are many “…shortcomings of the information available on migrant
smuggling by sea, limited by data collection methodologies used and inconsistencies
between them. Often detailed information is collected about the extent of irregular
migration, its patterns, routes and trends, but it is not disaggregated according to land,
sea and air routes.”23
http://www.frontex.europa.eu/assets/Publications/General/Beyond_the_Frontiers.pdf
22 UNODC, https://www.unodc.org/unodc/en/treaties/CTOC/index.html
23 UNODC, Issue Paper, 2011, p. 10
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III.1.1.a. Europe
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With the objective of improving procedures and working methods of the Common
Unit, on the 26 October 2004 the European Agency for the Management of Operational
Cooperation at the External Borders of the Member States of the European Union
(Frontex) was established by Council Regulation (EC) 2007/2004. Frontex helps border
authorities from different EU countries work together. Frontex’s full title is the European
Agency for the Management of Operational Cooperation at the External Borders of
the Member States of the European Union.Besides many other activity areas, Frontex
also works closely with the border-control authorities of non-EU/Schengen countries
— mainly those countries identified as a source or transit route of irregular migration
— in line with general EU external relations policy.25
http://www.frontex.europa.eu/assets/Publications/General/Beyond_the_Frontiers.pdf
25 FRONTEX, http://www.frontex.europa.eu/about-frontex/mission-and-tasks
26 Beyond The Frontiers 2010, p.7
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Frontex was ready to tackle new challenges and the Mediterranean Sea or , in other
words, the southern borders of the EU was gainin utmost importance “to be protected”
vis a vie the growing waves of irregular migration from “the South.” “From its inception,
Frontex set out to tackle the challenge of coordinating the control of the European
Union’s long maritime southern border. In fact, one of the earliest tasks given by the
European Council was to investigate the feasibility of improving coordinated monitoring
of the Mediterranean. Not surprisingly, this was dubbed the MEDSEA Study. In early
2006 the MEDSEA study, which looked at the feasibility of a Mediterranean coastal
patrol network, was quickly followed by another study, BORTEC, which considered the
associated challenge of establishing a surveillance system covering not only the entire
southern maritime border of the EU, but also the open sea beyond.”27
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Increased numbers of migrants are now arriving on the Greek Aegean islands
of Lesvos, Samos, Symi and Farmkonissi. Between August and December 2012, 3.280
persons were arrested after crossing the Greek-Turkish sea border, compared to 65
persons in the first seven months of 2012.
There has also been an increase in the number of deaths at sea. In early September
2012, 60 people perished when their boat sank off the coast in Izmir. On 15 December
2012, at least 18 migrants drowned off the coast of Lesvos while attempting to reach the
island by boat. 31
III.1.1.b. Mediterranean
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in the Atlantic. But there was no doubt in anyone’s mind where the future focus
of maritime attention lay: the Mediterranean Sea.”32
As it’s stated above, the events of 2011 has had and will continue to have an impact
on smuggling routes. The Italian island of Lampedusa is still a preferred destination, but
ports of departure have shifted. While former routes such as the use of Gibraltar and
Tunisia had almost disappeared, recent statistics show that there was a surge of Tunisian
nationals travelling on the Central Mediterranean route in the first quarter of 2011
fleeing unrest in their home country. Accelerated readmission agreements between Italy
and Tunisia reduced this figure by 75% in the second quarter of the year, but the overall
number of detections on this route increased. Many migrants travelling this route do so
independently, without the assistance of smugglers.34
In the last decade, Libya was the main hub for Mediterranean crossings from
Africa to Europe, particularly to Malta and Italy. The small island State of Malta faces
significant challenges. Malta is a transit point for migration routes from the South
to intended final destinations in Europe. Despite its small size (around 300 square
kilometres) and population (around 400,000), its search and rescue area spans 260.000
square kilometres. Malta also has proportionately the greatest number of migrants per
capita of the population; in 2008 the number of migrant arrivals exceeded the local
birth rate. In the first 6 months of 2011 alone, there were 1.531 arrivals by sea.35
There are different data findings for arrivals by sea in the key European countries
that receive migrants from Africa. Arrivals in Spain by sea are mainly concentrated
on the Canary Islands, the Strait of Gibraltar and the Alboran Sea. Another peculiar
situation for Spain is the significant number of irregular migrant entries into Spanish
enclaves of Ceuta and Melilla in Morocco; such entries result in entering Spanish
territory without crossing the sea. The number of interceptions on the Spanish coast
rose in the mid‐1990s, more than doubling from 1999 to 2000 with estimates for arrivals
since then putting the annual number between 15.000 to 19.000. Illegal border crossing
into the Canary Islands rose steadily and peaked during 2006 at around 30.000. A sharp
32 Beyond The Frontiers 2010, p.38
33 UNODC 2011 Issue Paper, p.13
34 UNHCR, http://www.unhcr.org/pages/49e485f36.html
35 UNODC 2011 Issue Paper, p.13
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decrease in 2007 and 2008 followed. The extent to which smugglers facilitated these
crossings is unclear.36
In recent years, Spain, Italy and Malta were at the forefront of large-scale sea
arrivals. According to the UNHCR, in 2012, 1.567 individuals arrived in Malta by sea.
75% of these persons were from Somalia. The UNHCR estimates however that less than
30% of the more than 16.000 individuals who have arrived in Malta since 2002 remain
in Malta.
Spain and Italy have signed and effectively enforced readmission agreements with
North and West African countries cutting down on the mixed migration flows. These
agreements have provided the basis for returning irregular migrants and preventing
their crossing through increased maritime patrols and border surveillance, including in
the context of joint Frontex operations.37
The land border between Turkey and Greece is a key challenge for the European
region. Turkey’s geographic location makes her one of the key countries on the transit
route for smuggling from Asia into several countries of Europe. The close proximity of
Greece to Turkey, coupled with push factors such as political instability, violence, war
and unrest in Iraq, in Syria, in Palestine, in Afghanbistan and in Sudan and Somalia
have placed increased pressure on the Eastern Mediterranean countries, specifically on
Turkey and Greece. Greece is another primary transit country for migrant smuggling to
other destinations in Europe.
Overall irregular migration was at a reduced level during the first three months of
2013, mostly following increased operational activity at the external border combined
with some foreseen seasonal declines. There were fewer detections of illegal border-
crossing than ever before, with just 9,717 detections.38 The drop was limited mostly to
sea borders. Overall, migrants from Syria were the nationality most commonly detected
illegally crossing the external border. Migrants from Mali, the Gambia, Kosovo,and
Syria were increasingly detected illegally crossing the external border (besides Iranians,
Iraqis and Palestinians).
Syrians have been the most commonly detected migrants during the operation
so far in 2013. Most were men travelling alone but here were some family units, and all
were heading for Sweden or Germany to claim asylum. Once they entered Turkey, those
intending to enter the EU travelled to Istanbul in order to make contact with facilitation
networks. They stayed in Istanbul for between 1–12 weeks before being taken by van to
the west coast of Turkey to depart towards the Greek eastern Aegean Islands. Afghans
were also detected in this region. Most were previously resident in Iran and had decided
to travel to the EU due to deteriorating employment conditions. The Afghan community
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in Iran can easily find criminal networks that can facilitate them to Turkey and then to
Greece. Once in Turkey, the Afghan migrants were transported by public transport to
Istanbul and from there mainly by private transportation directly to departure area on
the western coast of Turkey, where they boarded rubber boats destined for the Greek
eastern Aegean Islands.39
IV. Conclusion
It is possible to claim that over the next few decades, international migration is
likely to increase in scale and will become more complex due to growing demographic
disparities, the effects of environmental change, new global political and economic
dynamics, technological revolutions and social networks. These transformations will
introduce opportunities. However, they will also exacerbate existing problems and
generate new challenges. It’s underlined in World Migration Report 2010 published by
IOM, “if the migrant population continues to increase at the same pace as the last 20
years, the stock of international migrants worldwide by 2050 could be as high as 405
million.”41
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words reacher countries of the Northern hemisphere fell short of the requirements of
more humanitarian and effecctive migration management policies irregular migration
movements will possibly become a gretaer problem. “Protecting the human rights of
migrants will become an even more pressing priority, while the question of the rights of
irregular migrants and how to protect them will become increasingly acute.”43
International migration movements were on the rapid rise during the 1970s due
to the political and economic climax in the Middle East, Africa and the Far East. Boat
People from Wiet Nam and othe Eastern Asian countries, Palestinians and at the end of
1970s Iranian’s, many people from Africa in-decolonization process were knocking the
doors of the industrially more developd Northern/ Western countries. The escalation
in numbers of foreign workers and asylum-seekers and the economic/financial crisis
which left deep impacts on European Economic Community (EEC) members led them
to severe measures. During 1980s EEC members were developing ways for a common
visa policy (like Schengen Information System) and the legal/regular migration doors
were almost slightly open to the citizens of “Third World.” The narrowing of regular
migration facilities brought together with it increasing numbers of asylum-seekers and
rewfugees, who were not necessarily genuine refugees. People were trying the back-door.
But, as Koser describes rightly, the securitization of migration came onto the secene
recently. There are many factors behind it, but it worths to mention that while economic
and political situations were deterriorating in the less developed world the politicians
of the developed world did not deal with the root causes of the increasing volume of
irregular migration. Instead populist policies did cause xenophobia to increase in the
Western countries. Result: The closer the door of regular migration and the higher the
gap between the developed and the less developed countries the higher the numbers of
irregular migration movements around the globe. In other words it is important not to
fuel fear and negative perceptions of the North being overrun by poor migrants from
the South, while of course not ignoring the vexing incidence of irregular migration
today. One of the key questions requiring further exploration is how to get to the root
of the phenomenon. It can be a security issue but not because of the very existence
of migrants, irregular or not, but because of migrant smugglers who are illegal and
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the mismanaged migration policies of the developed countries. It is not all about the
security it is also about burden-sharing (not the burden-shaping) which would ensure
us the right lenses to see the situation.
The first conclusion of the study is that securitization of irregular migration leads
to the deprivation of fundamental human rights. Irregular migrant have fundamental
human rights, too. They mostly aim to increase their living standards by emigrating
to the developed countries with a hope of finding a job. They rarely get involved in
criminal affairs. Detecting people in plastic boats at sea and sending them back do not
solve any problems.
Second, Turkey and the EU has to cooperate more on struggling with the migrant
smugglers and combatting with the irregular migration at sea. Frontex reflects the security
oriented approach of the EU towards irregular migration and there is a need for further
institutional structure to combat with irregular migration at Mediterranean. Turkey has
become a transit country and also a destination country for international migrants while
it was only a sending country before 1990s. Because of Turkey’s geographic location
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irregular migrants from Asian countries such as Afghanistan, Pakistan, Burma (63,9
%), from Middle Eastern countries such as Iran, Iraq and Palestine (27,7%) and from
African countries such as Somalia, Nigeria and Eritrea (8,2%) are coming to Turkey.
(Çiçekli and Demir 2013, p.53) Some of these people enter into Turkey by using legal
ways and with legal documents. They may become irregular as their valid documents’
got expired. Some of them pass the borders in a fraudelent way. But, what do they have
in common is that they pass from the eastern borders of Turkey and leave Turkey via
the western borders.
Third remark to be given in this study is that there is an unforeseen but widely
and “effectively” routes of transportation to transport irregular migrants in Turkey
from the eastern land borders to the western land and sea borders. It is important to
note once more that economic and political climax contribute to the flows of irregular
migration. In addition to the countries and percentages given above, there are hundreds
of thousands of Syrian asylum seekers and/or immigrants in Turkey. Since early 2012
Syrian irregular migrants compose one of the largest groups of irregular migrants who
try to g oto Europe via Turkey and who were caught up at land or sea borders of Turkey.
As in the case of Turkey, the all Eastern Mediterranean countries are prone to
the both positive and negative impacts of growing scale of international migration. It is
important to keep in mind that irregular migration rates within the whole international
migration movements will increase. Securitization of irregular migtration may highly
probably lead to death of most people on route. If we do not prefer people to die or
perish in the Mediterranean Sea then we, as “regular” humanbeings should work harder
on the root causes.
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Bibliography
Castles, Steven and Miller, Mark J. (2003), The Age of Migration, International Population
Movements In The Modern World, Palgrave, Mac Millan.
Crepaw, Francois and Nahache, Delphine (2006), “Controlling Irregular Migration in Canada:
Reconciling Security Concerns With Human Rights Protection,” IRPP Choises, Vol.12, No.1.
Çiçekli, Bülent& Demir, Oğuzhan Ömer (2013), Türkiye Koridorunda Yasadışı Göçmenler,
Karınca Yayınları, Ankara.
Guild, Elspeth(2009), Security and Migration In The 21st Century, Polity Press, Cambridge, UK.
Koser, Khalid (2007), International Migration, A Very Short Introduction, Oxford University
Press, New York.
Internet Sources:
International Organization for Migration World Migration Report (2010), The Future of
Migration: Building Capacities for Change, Geneva, Switzerland. http://publications.iom.int/
bookstore/free/WMR_2010_ENGLISH.pdf (accessed September 4, 2012)
Lodge, Anthony (2010), Beyond The Frontiers: Frontex , The First Five Years , Offset-Print,
Michałowice, Poland, http://www.frontex.europa.eu/assets/Publications/General/Beyond_the_
Frontiers.pdf (accessed September 2, 2012)
EU, http://europa.eu/pol/justice/flipbook/migration/en/files/migration-and-asylum_en.pdf
(accessed April 15, 2013)
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Global Maritime Security: New Horizons
“International migration policies and data: Migration picking up but rising unemployment
hurting immigrants”
http://www.oecd.org/els/mig/migrationpickingupbutrisingunemploymenthurtingimmigrants.
htm (accessed May 21, 2013)
UNESCO, http://www.unesco.org/new/en/social-and-human-sciences/themes/international-
migration/glossary/migrant/ (accesses May 28, 2013)
http://www.unodc.org/documents/human-trafficking/FINAL_REPORT_06052010_1.pdf
(accessed March 10, 2012)
UNODC, (2011), Issue Paper, Transnational Organized Crime in the Fishing Industry http://www.
unodc.org/unodc/en/human-trafficking/2011/issue-paper-transnational-organized-crime-in-
the-fishing-industry.html (accessed March 11, 2012)
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Abstract
Oman is strategically positioned across the Gulf of Oman from Iran, north of
Yemen, and east of Saudi Arabia. It has arguably been able to secure its rapid economic
growth—spurred by oil riches—by maintaining neutral, if not friendly, relations with
these neighbors, including Iran. Yet while Oman has successfully kept itself neutral, it
still inhabits a precarious location. It shares with Iran the Strait of Hormuz, a waterway
that Iran has threatened to close due to its charged relations with the Gulf Cooperation
Council countries and the United States, who rely on the Strait to transport oil to world
markets. Such a position, coupled with Oman’s geographic proximity to the Indian
Ocean, where Somali pirates operate, has made maritime security over the past decade a
key pillar of the country’s foreign policy strategy. Muscat thus seeks to counter a range of
threat scenarios, from piracy to regional tensions, by closely linking maritime security
policies to its neutrality-based foreign policy doctrine.
I. Introduction
This paper focuses on the origins and dynamics of Oman’s strategic concerns
in its relationship with its neighbors, and how this shapes the country’s maritime
security policies. It posits that the Sultanate’s overarching strategic constants, based on
its precarious location, positioned across Iran, north of Yemen and to the east of Saudi
Arabia guides its neutrality-based foreign policy. Secondly, since the days of the ancient
Magan civilization, from the fourth millennium BC, Omanis have sought contact
with the nations of the ancient and modern world by taking advantage of its unique
geographical position at a junction of sea routes between Arabia, East Africa and Asia.
By the eighth century, Omani merchants navigated the perils of the Indian Ocean and
sailed to Canton in China, and to East Africa. In the first half of the nineteenth century,
Oman’s ruler, Sultan Sultan Said bin Sultan(1797-1856), sent merchant ships to London
and New York and subsequently forged strong commercial and diplomatic ties with
both Great Britain and the United States; a strategic alliance maintained by Oman until
the present.
This paper also builds on a 2012 presentation given on Omani maritime security
policies at the Maritime Security Center of Excellence1 in Marmaris, Turkey; a NATO
1 Sigurd Neubauer, “Maritime Security In Oman,” Maritime Security Center of Excellent,” 17 November 2012.
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Global Maritime Security: New Horizons
affiliated institute and a previously written book chapter on the same topic.2 The analysis
draws heavily on interviews with internationally recognized maritime security experts
and senior Omani officials from the Ministry of Foreign Affairs and the Ministry of
Defense who, given the sensitivity of the subject matter, requested that their comments
and insights be used on a not-for attribution basis. Names and affiliated organizations
of these individuals have therefore been omitted from the text. However, any mistakes
made, are entirely my own.
Oman has arguably been able to secure its rapid economic growth, prompted
by oil riches, by maintaining friendly and cordial relations with all of its neighbors,
including with Iran. However, given Oman’s precarious location, sharing the Straits of
Hormuz with Iran coupled with its close geographical proximity to the Indian Ocean,
where Somali pirates operate, maritime security has over the past decade become a
key pillar of the country’s foreign policy strategy. By closely linking maritime security
policies to its overall foreign policy doctrine, this chapter outlines how Oman seeks to
counter a range of threat scenarios stemming from Somali piracy to regional tensions
over control of the Straits of Hormuz.
Piracy aside, Oman also fears that political instability in Somalia and elsewhere
could prompt waves of illegal immigration, ultimately testing its navy and coast guard.
The country’s 3165 kilometer coastline also remains vulnerable to smuggling and illegal
fishing, officials stress.
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Hormuz would not only threaten global energy supplies, as some 35 percent of all crude
oil carried by ship passes through, but effectively violate Omani territorial waters.
In a bid to mitigate risk stemming from the strategic water passage and the
potentially disastrous effect an international war with Iran could have on the region
and on Omani commercial interests in particular, the government recently constructed
a new port, Al Duqm, with a strategic location in the Arabian Sea; the new port also
provides dockyard facilities and ship maintenance services, potentially becoming a
major regional transport hub.
Despite these measures meant to shield the region’s energy supply lines from
potential attacks, Omani officials express confidence in their ability to ultimately
persuade Iran from closing the Strait, as Iranian ships no longer will be able to access
the Indian Ocean. Unlike the United Arab Emirates and Saudi Arabia, which over the
past decade have invested significant resources in building alternate pipelines as part
of an effort to circumvent the Strait of Hormuz, Iranian ships are solely reliant on the
narrow passage to enter the sea,Omani officials reason.
Omani officials also explain that “none of its neighbors” receive “preferential
treatment,” including Iran; instead, Muscat seeks to balance its relations between
Tehran, the GCC and the international community at large. Omani officials also say,
in the event Iran attempts to block the Strait, it remains “doubtful” whether that threat
can be actualized due to the heavily patrolled waterway by the U.S. Navy and its British,
French and GCC counterparts. Nonetheless, Muscat officials stress, privately, that
a “Western” war with Iran and threats presented by piracy present limits to “Omani
tolerance,” as its economic interests would be severely hurt.
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Global Maritime Security: New Horizons
in July 2010.” Shortly after midnight, the ship “reported a flash, quickly followed by what
sounded and felt like an explosion.The double hull, holding about 2m barrels of crude
oil, withstood the explosion but damage was visible inside... Mystery still surrounds
the incident. According to Mitsui OSK Lines, owners of the vessel, there seemed to
have been an ‘attack from external source.’”Following the incident, “Tehran quickly
distanced itself the blast, saying it must have been accidental.” Until today, the cause of
the incident remains a mystery.5
Under the reign of His Majesty Sultan Qaboos bin Said (1940-), Muscat’s stated
foreign policy objective centers on maintaining friendly relations with its immediate
neighbors, while avoiding interfering in the internal affairs of any state in the region.
A neutral foreign policy, coupled with Qaboos strong emphasis on socio-economic
developments has brought remarkable prosperity to his nation, according to data
released by the United Nations Development Program.6
Since assuming power in 1970, through a bloodless palace coup, the Shah of Iran
Mohammad Reza Pahlavi and King Hussain of Jordan were the only regional leaders
to support the young British-educated prince in his quest for the throne; Qaboos
apparently never forgot - and since forged strong political ties with Tehran7. Presently,
however, Oman enjoys friendly relations with all countries of the region.
It should also be noted that during the Dhofar rebellion (1962-1978), launched
in the southern province of Dhofar against the Sultan, Iran dispatched over the ensuing
years a total 30,000 troops to fight off the insurgency. Although Britain also assistance
the Sultan in this effort, Tehran unlike London was willing to take casualties. Iranian
support during the Dhofar rebellion coupled with the Shah’s robust support for Qaboos’
quest for the throne helped lay the groundwork for the present friendly relations
between the two countries.
Drawing upon its historical ties to Tehran, Muscat successfully mediated the
release of fifteen British navy personnel captured at gunpoint by Iranian forces in 2007.
Similarly, again drawing upon its close relations with Iran, Oman mediated the release
of three U.S. hikers, accused by Tehran of “espionage” in 2011.8 Oman also remains a
staunch U.S. ally and enjoys close defense cooperation with the United Kingdom in
particular as part of its neutrality-based foreign policy doctrine.9
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Extending Oman’s foreign policy doctrine of neutrality at sea, the Royal Navy
Oman (RNO) conducts annual bilateral exercises with its GCC partners, India, Pakistan
and with the United States. The Sultanate also conducts annual multilateral exercises
with the GCC, the United States, Britain and France.
In close cooperation with its GCC allies, the RNO participates in an annual
multilateral exercises that rotate each year into the territorial waters of one of its partners.
Although the theme of the GCC naval exercise vary from year to year, it takes six years
before the drill in question returns to host country. When it comes to missile firing tests,
due to the Gulf ’s narrow waterways, each of the GCC participants conduct testing in the
Arabian Sea; typically ranging between 80-100 miles off the coast of Oman.
The RNO also conducts a separate annual bilateral exercise with both its Indian
and Pakistani counterparts, each year alternating between each other’s territorial waters.
In addition to the RNO’s annual bilateral “Magic Carpet” exercise with the
U.S. Navy, Oman also commits herself to a yearly multilateral “Khanjar Hadd” [sharp
dagger] drill; drawing participation by the navies from Britain, France and the United
States. Aside from testing operational capabilities, a central component to Oman’s
various naval exercises is forging strong relationships, in a bid to enhance the nation’s
foreign policy doctrine of “independent internationalism.”
Although the RNO aims to send one ship from each class to each of its exercises, the
exact ship participation depends on availability and previous commitments, officials say.
While details of the RNO’s overall budget remains classified, officials reveal that
funding for its various annual naval exercises are derived from the RNO’s training
budget, also covering resources allocated for training RNO staff training seminars
abroad and at home.
Although Oman does not conduct any drills with the Iranian Navy, the two
countries informally coordinate counter piracy-efforts and its navies occasionally dock
at each others ports. However, counter piracy coordination is solely conducted with
the Iranian navy, and not with Iran’s Revolutionary Guards. Aside from its “informal”
piracy coordination with Iran, officials stress. Unlike with its GCC allies, Muscat has not
signed any intelligence cooperation agreements with Teheran. Formal bilateral naval
cooperation is strictly limited a junior Omani officer dispatched to Tehran to study
Farsi while his Iranian counterpart is sent to Muscat to learn Arabic.
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In the Strait of Hormuz, Oman and Iran “operate independently” of one another,
Omani officials stress.
Meanwhile in 2012, the RNO along with its GCC counterparts, participated in
a U.S. lead naval exercise, known as International Mine Countermeasures Exercise
(IMCMEX-12), focusing on clearing mines that Tehran, or guerrilla groups, might
deploy to disrupt tanker traffic, notably in the Strait of Hormuz.10
In a bid to prevent extremist groups from threatening the prosperity and stability
of the Arabian Gulf and the Middle East at large, the leaders of the GCC countries
adopted in 2002 a security strategy for combating terrorism-related radicalism. The
very same year, the GCC issued what became known as the “Muscat-Declaration,” a
commitment to fight terrorism. On 4 May 2004, the GCC leaders convened again, this
time in Kuwait, where they signed an extensive counter terrorism agreement.
Under the new GCC anti-terrorism treaty, the parties agreed to conduct annual
joint naval exercises and share intelligence on threats ranging from piracy, terrorism at
sea, smuggling, to issues pertaining to illegal immigration.
Oman has also signed intelligence cooperation treaties with the United States,
Britain, France, India and Pakistan. Oman has not signed any intelligence cooperation
agreements with Iran. (In 1974, during the reign of the Shah of Iran, the two countries
signed a joint bilateral patrolling agreement but the treaty in question has not been in
place since the Islamic Revolution of 1979.)
Building on the 2004 GCC anti-terrorism treaty, Oman, the United Arab
Emirates and Saudi Arabia signed onto the “Djibouti Code of Conduct,” at an anti-
piracy summit in Djibouti in January 2009. According to the International Maritime
Organization (IMO) document, the signatories commit themselves to abiding by United
Nations Security Council Resolution resolutions 1816 (2008), 1838 (2008), 1846 (2008)
10 United States Department of State, “Senior Administration Officials Preview of the U.S.-GCC Strategic Cooperation
Forum,” 28 September 2012.
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and 1851 (2008) and of UN General Assembly resolution 63/111, which fall within the
competence of the IMO and all international anti-piracy agreements.
“(a) the investigation, arrest and prosecution of persons, who are reasonably
suspected of having committed acts of piracy and armed robbery against ships,
including those inciting or intentionally facilitating such acts;
(b) the interdiction and seizure of suspect ships and property on board such ships;
(c) the rescue of ships, persons and property subject to piracy and armed robbery
and the facilitation of proper care, treatment and repatriation of seafarers,
fishermen, other shipboard personnel and passengers subject to such acts,
particularly those who have been subjected to violence; and
(d) the conduct of shared operations – both among signatory States and with
navies from countries outside the region – such as nominating law enforcement
or other authorized officials to embark on patrol ships or aircraft of another
signatory.”11
Given the various threat scenarios stemming from sea to Oman’s security and
prosperity, maritime security is addressed at the national level. Operationally, maritime
security responsibilities are divided between the Royal Oman Navy (RNO) and the
Coast Guard (CG), responding directly to the Royal Oman Police (RPO). Counter
piracy operations are also supported by the Royal Air Force Oman (RAFO).
Within Oman’s territorial waters, the CG is responsible for the country’s maritime
security policies. Beyond Oman’s 12 nautical miles, the RNO resumes that responsibility.
Aside from combatting piracy, the RNO is also responsible for protecting fisheries and
other resources.
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As the country is seeking to reform its maritime security decision making process,
in tandem with overhauling its present maritime legislation, Oman’s maritime budgetary
process is also expected to be reformed. Under current legislation, the ROP receives its
annual budget from the Ministry of Finance and subsequently allocates funding to the
CG. However, the GC enjoys additional discretionary resources for combating piracy
and illegal infiltration. While the ROP has signed various customs agreements with
the GCC, under the 2004 landmark anti-terrorism treaty, the CG also enjoys a certain
degree of autonomy as it operates according to its own code.
Since the 1970s, the RNO has transformed itself into a modern entity, enjoying
close security cooperation with the United Kingdom in particular. Citing historic ties,
officials acknowledge, “Britain continues to understand Omani maritime needs well,
and vice versa.”
Additionally, many of the RNO’s premier officer corps received their education
in Britain.
Sizable to its small population (3,02 million), the RNO is made up by a 4,200 well-
trained personnel. By comparison, the country’s Coast Guard, responsible for enforcing
much of the country’s maritime security policies, employs a staff of 400.
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Although Oman lacks warfighting experience, its navy and armed forces
maintains a good state of readiness. Primarily focusing on territorial defense, and as
part of an effort to respond to increasing threat scenarios presented by sea, Oman is
believed to have increased its annual defense budget from 57.5 billion USD in 2010
to 66.6 billion USD in 2011.13 Drawing on its strong alliance with Washington and
London, Muscat “has ensured a steady flow of new equipment... to maintain military
effectiveness.” Additionally, responding to regional unrest prompted by the “Arab
Spring,” the GCC initially pledged a 10 billion USD aid package to Oman, in a bid to
help create another 10,000 public sector jobs, mostly meant to staff its military and
security forces. However, at the present stage, officials say, “it remains unclear whether
the funding will be granted.”
Over the past three decades, Oman’s port sector has grown dynamically and
the country has taken a series of subsequent steps to establish herself as a regional
transportation hub. Accordingly, the government appears to be changing from a port
driven port policy towards a deeper strategic national approach on how to fully utilize its
various ports’ potential. As case in point, following a royal decree, Muscat’s SQP will be
transformed from an industrial port into a cruise hub. Meanwhile, all cargo operations
will be transferred to the Port of Sohar, the country largest in overall tonnage, located in
the northeastern Batinah region.
While Oman is overhauling its national port strategy, the country is also in the
midst of renewing its maritime legislation in a bid to streamline regulations and increase
its overall competitiveness; a new legal framework is expected by the end of 2013.
Since signing on to the Ship and Port Facility Security Code (ISPS) of the
International Maritime Organization (IMO) in 2002 and implemented its code in 2004,
Oman remains on the IMO’s white list (STCW). As Oman seeks to upgrade its various
port facilities while complying with international regulations and standards, the MOTC
13 The International Institute for Strategic Studies. “The Military Balanced 2012” (p.342).
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Under the present legislation, Omani ports are structured according to the
European “landlord model,” where the government owns the ports while providing
a concession agreement to port management companies. While the government
continues to be responsible for covering the port’s external security related costs; inside
the port, the operating management company covers security costs. Moreover, each
port management company acts as port authority, leasing out land while granting
concessions to specialized stevedoring and other port service companies. While Oman
is currently consulting Dutch and Belgian ports on respective legislation covering issues
ranging from security to “landlord” best practices practices. In sink with its national
port strategy overhaul, all of Oman’s port security standards and practices are currently
being evaluated, port executives say.
On behalf of the government, the is responsible for the port’s external security
while MOTC carries the costs for fencing and gates. Within each port, a private security
company is hired responsible for maintaining daily security procedures. As part of
a 24/7 security scheme, all ships docking at Omani ports are susceptible to random
inspections all year around. While the CG patrols the waters outside of the port, the
ROP is responsible for the ports external security on shore.
X. Anti-Terrorism Procedures
Prior to implementing the ISPS code, two annual drills simulating terrorist
attacks were carried out at each port. However, since 2008, one annual exercise is held
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at each port, involving all agencies ranging from ROP, CG, MOTC, Ministry of the
Environment to local and national hospitals. At each port exercise, port officials from
the other Omani ports may join as observers.
In the event Oman’s continental shelf extension request is granted, Oman will
be in full control of the natural resources in the seabed of the extended area but not
the water above it. Muscat is also presently assessing what additional RNO resource
allocations are needed, in terms of manpower and procurement, should its continental
shelf request be granted.
While Oman’s exclusive economic zone (200 nautical miles) covers approximately
550,000 square kilometers, Muscat is not expecting that any of its neighbors, including
India, will object to its continental shelf extension request, officials say.
For Oman to successfully strengthen its overall maritime security, a first and
important step would be to enhance inter-agency cooperation by setting up a taskforce
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that will respond to the highest levels of government on issues ranging from assessing
various threat scenarios to crafting policies that will take into account the interests
of the various security agencies and those of the business community. In order to
establish a successful taskforce, it is critical that all government agencies responsible for
executing the country’s maritime security policies are represented as part of an effort to
break down bureaucratic boundaries and thereby ensuring that a holistic approach to
maritime security can be fully pursued. Within that framework, it is advisable that the
proposed government taskforce consults industry leaders and private sector groups on
issues of mutual concern, and vice versa.
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Abstract
Transportation is considerable not only for economy but also indispensable for the
integrity and defense of countries. An important part of the goods handled and moved
through seaborne trade has comprised certain explosive goods that have increasingly
been demanded and used by a great variety of industrial fields. As a consequence, safety
in the operations of the dangerous goods at ports has become an important issue of
debates and regulations. Transportation of dangerous goods makes the widest and
most destructive effects to people and environment in spite of normal commodity. The
most fundamental point for preventing the bad and destructive effects of that kind of
dangerous cargoes are composing and developing a control mechanism and providing
good education.
I. Introduction
1 This study is prepared using Master’s Thesis of İnanır M. by the consultation of Zorba Y. namely with “Safety Management
Implementations at Sea Ports Handling Class 1 Type Dangerous Goods” in Dokuz Eylül University Graduate School of Social
Sciences, Maritime Business Administration, Logistic Management Program at 2012.
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Many States use rules based upon the explosives, their quantity, and the distance
from the explosive to where people are at risk. These rules are known as Quantity-
Distance (Q-D) criteria, and are based on the approach derived from the Hopkinson-
Cranz Scaling Law, which is further amended by a range of coefficients. It is the basis of
much of the work on the estimation of appropriate quantity and separation distances.
Function about the explosive material quantity and created pressure wave effect is with
below formula. R, distance to detonation point in meters, W quantity of explosive
charge in kilograms.
Dangerous goods in trade are classified including explosives for the sake of
logistical process determination. Different classes of dangerous goods require different
handling processes according to their specifications and their hazards. A part of the
United Nations (UN), International Maritime Organization (IMO) has classified these
kinds of dangerous goods in 9 classes in the IMDG Code. The first class of the Code is
for explosives and named as Class 1, and it recommends a lot of special precautions for
the transportation of explosive cargo.
In most of the ports ships carrying Class 1 type explosives are not accepted, thus
workers of said ports are never came in contact with Class 1 cargo. Even the ports which
accepts such cargo, only allow very small quantities to be handled next to pier/ to be sent
to any other destination as fast as possible. The cargo is never stored in open / closed
port areas. Due to explosive materials characteristics and different kind of risks, IMDG
Code, reclassify Class 1 type cargoes in 6 sub divisions. These are listed as follows;
Class 1: Explosives
Division 1.1: substances and articles which have a mass explosion hazard
Division 1.2: substances and articles which have a projection hazard but not a
mass explosion hazard
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Division 1.3: substances and articles which have a fire hazard and either a minor
blast hazard or a minor projection hazard or both, but not a mass explosion hazard
Division 1.4: substances and articles which present no significant hazard
Division 1.5: very insensitive substances which have a mass explosion hazard
Division 1.6: extremely insensitive articles which do not have a mass explosion
hazard
IMO regulations are actually safety criteria have to prevent possible accidents
which may occur during the handling of dangerous cargo or while storing the cargo in
port area. As definition “Safety” is being free from natural hazards or mistakes. Safety
in organizations is mostly about the acceptance level of safe organizational culture. The
most known organizational culture definition is “the way things get done around here”
(Deal and Kenney, 1982: 4). But in case of dangerous goods, it must be stated that safety
must be completely free from human errors.
After the ISPS procedures, ports also concentrate on security management while
before it they were only used to have safety management system. But actually the ISPS
is just a summary of security codes thus port management should consciously improve
security culture of the port to review inefficiencies in the security system and prevent
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dangerous situations which may occur as a result of insecurity. Because in most of the
studies it has been pointed out that a person’s main devotion is to the management
system and into the organization culture (DeJoy, 2005: 119, Olive, 2006: 133, Lawrie,
2006: 252, Parker, 2006: 553, Obadia, 2007: 377, etc.). Even then, after September 11
process management codes of chemical products are mainly focused on security related
terrorism issues instead of safety (Moore, 2006: 175) thus port managers will be in
ignorance if they neglect the security management evaluations of their own ports.
For the sake of security, in the scope of ISPS regulations threat reviews, another
very important part of near miss incidents’ reviews is after effect analyze. To analyze
such incidents, previously occurred accidents can be used as detailed examples to clearly
assess the situation after such an event.
On 11.07.2011 black powder stored in 98 containers which had been seized during
their transit between Iran to Syria and brought into to South Cyprus Evagelos Florakis
Naval Base in Limassol area has been exploded. As a result of explosion 12 people died
and 62 people wounded, with the shock wave iron scraps from the explosion had spread
to 2 kilometers radius from blast point and damaged numerous vehicles in the area.
Also fire had started in the neighboring power plant; as a result a long duration power
failure had happened in the area.
Many similar case reports can be collected easily. Such reports have tremendous
value for security and safety management procedures about the dangerous goods
transportation and handling practices.
The aim of this research study is the determination of values that may be affected
if an explosive cargo explodes in port area during storage or in handling processes and
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developing a good security management process that may put proactive regulations to
prevent such accidents.
III. Methodology
For the study, said calculations are applied to IMDG Class 1.4 ANFO material
for Port of Izmir Alsancak. Mentioned material is 2000 kgs and carried in a container.
According to calculations of DoD 6055.09-STD for the detonation of said material
in Port of İzmir quantity-distance predictions for residential area and the highway is
30.5 meters. If same 2000 kgs material is recalculated with DDESB Automated Safety
Assessment Protocol – Explosives worksheet if a detonation happens in the pier where
such materials are handled the closest residential place, in this case port’s administrative
building is not damaged at all.
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IV. Results
• Considering the fact that unlike the other hazardous cargoes, explosives are
prone to attacks and sabotages by terrorists, the security of the ports hosting
the safety and operations of these items should not be left to responsibility
of only those responsible for the cargo or the units of navy and port security
responsible for the safety of the relevant operations. It should also involve
through a well-organized coordination such other authorities as the relevant
governor, regional security office, the mayor of the municipality, coastguard
and the garrison commander. The protocol signed by all these parties should
also include the class definitions of the explosives involved and certain
scenarios including extraordinary cases/situations.
• Drawing and experimental the practicability of, an evacuation plan for the
people likely to get affected by any fires which could be triggered a highly
populated place such a plan is to be made by the governor of the relevant
provincial district.
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and it should be secured that they should be informed merely about what they
are supposed to know, keeping certain points confidential/secret.
• Comparing and contrasting the options for the place to carry out the handling/
operation of explosives and evaluating to what extent the particular port is
proper for such handling. The options mentioned could involve regions, state/
public sector, private sector and navy ports.
• In case of the ship carrying explosives cannot approach the port called,
approximating any effects of such failure on the environment likely to be
sourced from the position permitted for anchoring or any other undesirable
encounters such as fire onboard, attacks to the cargo, or accidents, etc.
V. Conclusion
• To create protocol between navy and public sector like “Port Safety, Security
and Cooperation Protocol”
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References
Darbra, R. M., Casal, J (2004), Historical analysis of accidents in seaports. Safety Science
42: 85–98
Deal, T.E. ve Kennedy, A.A. (1982), Corporate Cultures. Boston: Addison-Wesley Pub.
Co.
Obadia, I. J., Vidal, M. C. R., Melo, P. F. F. F. (2007), An adaptive management system for
hazardous technology organizations. Safety Science 45: 373–396
Olive, C., O’Connor, T. M., Mannan, M. S. (2006), Relationship of Safety Culture and
Process Safety. Journal of Hazardous Materials 130: 133-140
Parker, D., Lawrie, M., Hudson, P. (2006), A framework for understanding the development
of organisational safety culture. Safety Science 44: 551–562
Planas-Cuchi, E., Montiel, H., Casal, J. (1997) A survey of the origin, type and consequences
of fire
accidents in process plants and in the transportation of hazardous material, Trans. IchemE.
75, 3–8.
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USA Department of Defense (2008), DoD 6055.09/Std, USA Army Ammunition and
Explosive Standarts Textbook 2008-120 Pentagon, USA
Zukas, A.J ve Walters, W.P. (1998), Explosive Effects and Applications. Newyork: Sprinfer-
Verlong.
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Preface
Piracy, terrorism and maritime crime have been with us since man first went to
sea, traded along the coastline and then ventured out beyond the sight of land. The fight
to control, or better still, eliminate the scourge has historically been at least one step
behind.
The first years of this Century have seen a quantum rise in serious, economically
important and successful piracy & terrorism attacks and, less noticed or reported on but
just as economically devastating, the interdiction of near coast waterways and ports by
maritime crime.
The Century started with more serious attacks in and around the Malacca Straits,
which ranged from pure theft to hijack of complete ships, often tugs towing barges. The
Gulf of Guinea, specifically Nigeria, where a war of attrition against oil interests, at the
outset anyway in the ‘80’s, was the main motivation, not hijack and ransom. Other areas
were also plagued by maritime crime of varying intensity but the economic effects were
generally not internationally recognized.
I. Background
The last 4 years has seen an increasingly serious, sophisticated, well financed
and well equipped explosion of piracy attacks against large, supposedly well found and
professionally run ships in the strategically vital Gulf of Aden. It is common knowledge
that the main pirates are Somali’s; based in chaotic and war-torn middle and lower
Somalia, rather than the much more stable Somaliland.1 However Yemini’s and others
have also played a part, not least in the Red Sea and along the Yemen coast.
1 Why the major powers have not done more to support the hard pressed Government of Somaliland is a complete mystery
and a major miscalculation in the view of many, including the Author
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very expensive for the task to which they have been assigned - to counter the threat of
a few pirates in skiffs and, especially last year, hijacked ships used as floating mother-
ships.
The success of the RN’s RFA, deployed in 2011, shows, I suggest, that expensive,
missile carrying warships are not essential – even if it is good for training and bolstering
the argument for an increase to a naval budget! Warships have finite accommodation for
the specialized boarding parties required, Fleet Auxiliaries do not and can also deploy
more helo’s and boats.
As is always the case various maritime countries and groups of NGO’s have
wanted some of the action (1) to show that their expensive naval toys, designed for
another age or their organization are not irrelevant; (2) that they wish to be seen to still
have an International reach; (3) to give their navies and junior captains a good practical
workup/workout; (4) to show the core sources of their energy supplies in the region that
they will protect their source of revenue.
This paper will look at the following, with a special emphasis an emerging, key
area, East Africa:
To understand the pivotal position that the Middle East in general and the Indian
Ocean in particular occupies in the World Economies one only has to look at the volume
of seaborne trade, especially in energy and general commodities that pass through the
region. 2 It is little wonder that the Indian Ocean has become a fertile hunting ground
2 See Appendix for three diagrams which clearly illustrate this dominance
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for increasingly sophisticated piracy as the rewards have escalated exponentially as the
attackers have kept ahead of the abilities of the World authorities to properly deal with
the situation. Practice has indeed made perfect.
However it is on the East African coast and within EEZ of those countries that
border the Indian Ocean, especially where oil and gas finds have mushroomed, that
Idarat and others now believe will become the new area of general piracy, increased
terrorism and maritime crime.
• Effectively protect their own maritime coast out to 12nm and preferably to
their EEZ.
Many African states are in the grip of, at best, weak, self-serving elites where
protection of their maritime coastline and assets comes a distinct second to the amassing
of grant aid into questionable accounts and, all too often the misappropriation of
monies earned from natural resources. Where maritime assets have been acquired from
Western defence companies or Far Eastern interests they have proved to be expensive,
over complex, often difficult to maintain and rarely leave their bases with any serious
or effective intent. In short they are the result of diplomatic and/or financial pressure/
blandishments rather than a good, simple tactical appreciation of what is effective and
within the likely capabilities of the country concerned.
• 45 out of 60 states have, or will have proven oil & gas reserves, much of it offshore
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• China’s oil imports from Africa doubled between 2006 & 2011
This is not the place to discuss regional macroeconomics. However very little
research has been done in the crucial area of maritime economic drivers.4 All these
problems above add up to a major barrier to any form of sustainable, post oil boom
prosperity returning to the region.
3 in the Appendix are two maps showing current activity and Exploration Licences already granted.
4 In the appendix is an short Idarat commissioned study on the economic effects of Maritime crime – which shows how
little data exists
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the energy bonanza to come if properly handled. Almost without exception the solutions
lie in a maritime infrastructure that can be effectively policed, preferably by national
forces, supported and trained by international task groups. Without that perceived
security in place oil companies will be loathe to commit the very large sums required.
To try and place the whole burden of protection on the energy industry is very
unwise and will lead to the industry attempting to dictate actions that are not in the best
interests of the country concerned.
This is already happening to a small degree, as I illustrate later. But the initiative
is by no means enough and is beset by international jealousies and power plays coupled
with the heady mix of local politics. The age of the local warlord is by no means over
and indeed, with increased income from crime will get worse. Nor is the capacity of the
world power blocks to use the region as a major test of strength.
There is a blurred dividing line between Piracy, Maritime Crime and general
Trafficking. It has been shown that Maritime Trafficking fuels and underpins the basic
elements of Maritime Crime. Indeed some would argue that the core differences are the
way they are carried out and the commodity that is traded – techniques and often the
backers, are the same. Stop one and you curtail the rest.5
Illegal Fishing
By a number of countries from the next-door neighbour to Far East Fleets as well
as, sadly, European fleets.
Smuggling
People
Drugs
Arms
Ideology
Smuggling is endemic, and has been for a thousand years - almost all the peoples
of E.Africa see this as a way of life and so it is not easily eradicated. However in recent
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years it has become more serious with organised crime taking a major role and vast
sums are now being made by syndicates; a short step to piracy.
Plain Crime
Theft
Hijack
Extortion
Tribal raids
The genesis of local piracy is the plundering of the coast and the near shore trade
of a weak nation with few assets to deploy as an effective antidote. With effective, cheap
modern weapons easily available local tribes and warlords become ever stronger, more
aggressive and difficult to counter, as Nigeria on the west coast has seen to its cost.
It is very easy to criticise poorer countries for their lack of ability to combat the
rise in Maritime Crime. However very few have good domain awareness, fit for purpose
assets, a properly trained command infrastructure or the willingness to allow other
nations warships into their waters except during well scripted once a year exercises.
There should be no safe havens for pirates, marine based criminals or terrorists
nor collusion along the East African coast and this message needs to be driven home.
Country borders are a largely western imposition of course.
The discovery of oil and gas down the E. African seaboard and inland in Kenya
has triggered a scramble for drilling rights, advanced supply bases and of course great
interest from China in the East, to Europe and the US in the West. A glance at the distances
involved, the change in the strategic balance from an over reliance on the Gulf and the 2
“squeeze points” of Hormuz and el Mandeb as well as the glowing prognostications as to
the size of these emerging fields, make for a heady mix of opportunity for the countries
concerned – but also, as one expert put it recently – an equal spectrum of opportunity
for all types of maritime crime, coastal as well as further out.
This threat has not been lost on the energy companies of course.6 However there
are a number of clear priorities to be addressed as soon as practicable, many of which
the International community will need to have a role to be effective.
6 at appendix 2 maps showing the oil exploration in progress and projected off East Africa
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• The re-establishment of the rule of law, at least out to the 12nm limit
• Better support for training, inter navy cooperation and command & control
As I make clear later this is already happening and many influential experts
in the Region are well aware of the need for decisive action. Indeed there was a
Conference on the subject in South Africa in 2012, attended by all the major
players where the theme and discussion centred round better cooperation.
Many organisations such as IMO, BIMCO with their excellent guidance, BMP4
(soon to be superseded by BMP5) and some Governments with significant fleets or with
a strong maritime tradition have, over the past couple of years have made determined
moves to improve the standards of maritime security. The problem remains however
that the maritime industry has a very long track record of not taking too much notice
or, at best, playing legal lip service to the standards recommended, indeed demanded by
the ISM Code and other regulations.
There is a very significant proportion of smaller ships, especially down the east
African Coast where the regulations are totally ignored and/or where coastguards and
ports take a very relaxed view on enforcing them to any degree at all, even if they have
the means to do so.
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It is the legal responsibility of all ship owners, companies, ship operators &
masters to take “seamanlike precautions”7 when their ships navigate in any area where
the threat of piracy and armed robbery exists”
The problem is compounded by the erroneous view, taken by far too many
operators, that if armed guards are aboard that is all they need to do8.
There are good reasons to have armed guards for slow ships with low freeboards,
towing or those going to a particularly poorly policed anchorage or discharge point.
However that in no way obviates the need to properly harden the ship or train the
officers and crew nor to have an up to date, audited and practiced Ship Security Plan.
The Maritime Security Industry has made commendable steps to take a grip
on armed guard standards and contracts, but has had limited success, especially with
guards sourced from the Far East. The time has come for standards to be enforced by
regulation – just like Health & Safety – and not just left to the owners to ensure that they
have contracted to a good security company. Again the Flag States have a crucial role to
play – and some of them are beginning to take the necessary action.
7 The ISM Code, which is mandatory is very clear on this point – see Section 8 of the Code
8 There are a number of issues surrounding Armed Guards. Note 9 in the Appendix
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Some suggestions:
• Much firmer legal requirements & inspections by Flag states9
• A legal requirement for ships over 500dwt to install/follow the
recommendations of BMP4
• A declaration by all ships before entering a Port Area that they are fully
compliant with BMP4 – in line with the mandatory ISPS Declaration
• More snap inspections by Coastguards & anchorage police
• A more rigorous application of the ISM Code by Flag State and ports
And will also be able to deal with any piracy, maritime crime or plain theft.
9 At Appendix are 2 diagrams showing, 1, the relationship between Flags state and likelihood of hijack & 2, the Nationalities
of hijacked crews related to the nationalities of the deployed Naval forces
10 A short, pp based APR brief is at appendix
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VII. Conclusions
• Piracy and maritime crime is evolving in the Indian Ocean NOT reducing
• The areas of the World where it is becoming more than just a threat to
Worldwide vested interests is diversifying
• Solutions should be expertise & transfer of skills driven – NOT money per se
• The Maritime shipping community should be held more accountable for the
security standards on their ships – whatever the size of ship or company.
Appendices
1-) The key Energy sea routes and Prime World refineries
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2-) A snap shot of AIS tracking organisation’s clients ship on 1 day in October 2012
3-) This data is centred on ships that fall within the ambit of the IMO and the
larger flag states. It does NOT show the many hundreds of small but essential coastal
craft who regularly fall victim to maritime crime
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4-)
5-)
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6-)
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7-)
8-)
http://www.idaratmaritime.com/wordpress/?cat=40
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Background
Over the last few years many shipping companies and security advisors have seen
the deployment of armed guards as the best solution to the problem of piracy. While it
is the case at the time of writing that no ship carrying armed guards has been captured
off Somalia there are a number of serious issues relating to the use of armed guards on
civilian vessels that need to be considered.
The issues relate to the legality of the carriage of weapons on board ships; the
potential legal liability of the ship’s Master and the owners where armed guards kill or
injure third parties, or cause damage to the ship and its cargo; the cost of deploying
armed guards; and the consequences of over-reliance on armed guards at the expense of
other protective measures. I will also look at the emerging international guidelines and
the need to establish effective rules of engagement for the use armed guards.
The United Nations Convention on the Law of the Sea 1982 (“UNCLOS”) regulates
activity on the high seas generally, rather than the carriage of weapons in particular.
Instead, Article 94(1) of UNCLOS stipulates that each State must exercise jurisdiction
and control over vessels flying its flag. Accordingly, it is up to each individual State
to legislate on this matter. So the regulations governing the carriage of weapons are
those laid down by the flag state, but a vessel must also comply with the law within
the waters of each coastal state it enters. A state may therefore prohibit the carriage of
any weapons into its territory, even though there is no contravention of the law of the
ship’s flag state. As at February 2012 states including France, Spain (where a licence is
also required), Saudi Arabia, Kenya and Brazil required prior notice that a ship was
carrying weapons, Australia also required registration with a number of government
agencies. In South Africa all firearms must be registered, which in practice means that
foreign vessels cannot bring guns into the country; in one week in 2011 two masters
were arrested and charged under the South African Firearm Control Act.[1] Although
national requirements change, and this is far from being a comprehensive list, it does
highlight the fact that the carriage of weapons on board merchant ships is not straight-
forward. Indeed, some armed response teams have illegally hidden weapons on board
a ship, creating a potential legal problem for the Master and the ship’s owners; while
some others have been forced to ditch their weapons overboard before entering national
waters, in order to avoid problems.
Some countries, like the United States, have actively encouraged the use of armed
guards. U. S. Coast Guard Maritime Security Directive 104-6 (series) requires U.S.
flagged vessels operating in the Horn of Africa (HOA) and Gulf of Aden (GOA) regions
to provide additional armed or unarmed security as needed. However, other countries
were, at least initially, reluctant to endorse such measures.
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The International Ship and Port Facility Security (ISPS) Code requires all vessels
flagged in a signatory state of SOLAS (International Convention for the Safety of Life at
Sea, 1974), to put in place a safety plan specific to each vessel. These measures are not
prescriptive, and so the carriage or use of firearms for self-defence is not prohibited. The
International Maritime Organisation (“IMO”) initially strongly discouraged but did not
prohibit the carriage and use of firearms by seafarers for the purpose of defence from
piracy. Increasingly it is moving towards the adoption of an international regime to be
established which will provide a framework for flag states that decide to allow vessels
to deploy arms on board, according to the IMO’s secretary-general Koji Sekimizu. Mr.
Sekimizu dismissed the current industry schemes, and said ‘What is clear now is that
the way forward is not industry self-regulation on a voluntary basis.’ [2] The IMO has
issued guidelines to security companies and ship owners.
There are serious concerns about the dangers of carrying weapons. In particular,
there is concern as to whether some of the armed guards deployed have sufficient
competency and skill to use weapons, and apprehension that the use of weapons may
escalate an already dangerous situation.
Criminal sanctions
In a previous incident off Oman in April 2010, crew from a passing cargo ship
fired upon a group of fishermen, thinking they were pirates, killing one of them and
injuring another. Raju Ambrose, 34, was declared ‘dead on arrival’ by doctors at the
Sultan Qaboos Hospital in Salalah on the south western coast of Oman. Shots were fired
without any warning or provocation from the ship at the group of nearly 75 fishermen
who had set off from Salalah in 25 boats.[4] I believe, from conversations with maritime
officers, that there have been many similar incidents, and most have gone unreported
because the victims were killed far out at sea. It does appear that many security guards are
virtually untrained and are not operating with any rules of engagement, and that seeing
a man in a small boat they will shoot him without asking questions. What is surprising
about the incident off Kerala involving the Italians is that they were trained military
personnel, who would have been expected to fire warning shots, not fatal rounds.
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There are likely to be criminal and civil law implications for the guards, the master
and the ship owner under most Flag State national laws if death or personal injury is
caused by the use of a firearm. Not all States will exonerate the user of the firearm on
the basis that he acted in self-defence. Seafarers may therefore find themselves facing
unforeseen penal consequences under foreign laws. The International Tribunal for the
Law of the Sea, in its M/V Saiga No 2 judgment, which related to naval personnel, said
that ‘international law … requires that the use of force must be avoided as far as possible
and, where force is inevitable, it must not go beyond what is reasonable and necessary in
the circumstances. Considerations of humanity must apply in the law of the sea, as they
do in other areas of international law.’ The judgment further suggests that practices which
are normally followed before resorting to force must be used. These include both visual
and auditory signals such as firing shots across the bows, and a variety of other measures.
Insurance Issues
There are a number of insurance issues that ship owners need to concern
themselves with. The first set of issues relates to insurance against damage, death or
injury, caused by the armed guards, and the second set relates to compliance with the
provisions of the insurance contracts that cover the vessel and its cargo.
Section 41 of the UK Marine Insurance Act 1906 implies into every contract of
insurance a warranty that the voyage is lawful and that, so far as the assured can control
the matter, the voyage will be carried out in a lawful manner. If the assured decides
to undertake self-defence involving lethal weapons, this could amount to carrying out
the voyage in an unlawful manner. For public policy reasons, a breach of the implied
warranty of legality cannot be waived by underwriters. If the ship owner’s self-defence
measures are not lawful, then underwriters will be automatically discharged from
liability under the policy from the breach onwards. As a further point, many contracts
will contain provisions which will oblige owners to waive their right of recourse against
the security company, should they have caused damage or loss to the vessel. In view of
this, hull and war risks underwriters need to review and approve the ship’s insurance
contract when armed guards are carried.
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armed guards does not mean that other protective measures are not required. I have read
at least one confidential report in which it was said that the pirates nearly overwhelmed
the guards, and the ship had no other defensive measures in place to fall back on.
At the minimum a ship transiting the Indian Ocean, the Gulf of Oman and the
Gulf of Aden needs to have effective razor wire in place, a citadel and armouring for the
bridge and preferably the accommodation decks. Best Management Practices Version
4 (BMP4)[5] says that ‘If pirates are unable to board a ship they cannot hijack it.’ BMP4
adds that ‘if armed Private Maritime Security Contractors are to be used they must be
as an additional layer of protection and not as an alternative to BMP.’[6]
In all circumstances the use of weapons on any ship must be governed by clear
Rules for the Use of Force (‘RUF’) agreed by the owner and the security company. At
present there are no generally accepted standards for RUF. The RUF should reflect the
laws of the flag state. They should also make clear that lethal force should only be used
where there is serious and imminent threat to life, and only where use is proportionate.
The use of armed guards places a serious responsibility on the shoulders of the Master
and the ship owner, and in particular on the company’s directors, who may be held to be
personally liable where death or serious injury results. The ship owner should also have
a process in place to review the proposals for the provisions of armed guards, to have
knowledge of the personnel used, of the weapons deployed and their licensing and for
training the ship’s crew how to react in case of an engagement.
Some relevant factors for consideration when hiring a security company include:
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References;
• The place of registration & business, how long they have conducted business
and the size of the organisation;
• Whether the law and jurisdiction provided for in the contract are acceptable
to the ship owners and their underwriters;
• Whether they have implemented a ‘no drug, smoking and alcohol’ policy.
International Guidelines
Notes:
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india/Italy-challenges-India-in-Supreme-Court-over-fishermens-deaths/
articleshow/15955783.cms accessed 5 September 2012
[4] Rahul Das -‘Mistaken for pirate, Indian fisherman shot off Oman coast’, The
Indian Express, New Delhi, 22 April 2010, http://www.indianexpress.com/news/
mistaken-for-pirate-indian-fisherman-shot-off-oman-coast/609609/ accessed 5
September 2012
[5] Best Management Practices Version 4, Witherby Publishing Group Ltd.,
Edinburgh, August 2011, p. 23
[6] Ibid p. 40
[7] ‘Revised Interim Guidance To Ship owners, Ship Operators And Shipmasters
On The Use Of Privately Contracted Armed Security Personnel On Board
Ships In The High Risk Area’, MSC. 1/Circ. 1405/Rev 2, International Maritime
Organization, 4 Albert Embankment, London SE1, 25 May 2012, Annex p. 1
[8] Ibid, Annex p. 1
Executive Summary
Piracy off the coast of East Africa is no longer contained to the waters bordering
Somalia and is spreading south to Kenya, Tanzania, and Mozambique. There has been
little analysis or data gathering focused on this shift, but preliminary analysis suggests
four major effects. (1-2)
Tourist visits to the region, particularly cruise ships, have almost disappeared.
Kenya down from 35 visits in 2008 to 0 in 2011. Similar story in Tanzania. (5)
Despite recent discoveries of large oil fields, the industry will not develop them
until a level of security is assured. Supply boats particularly vulnerable. (6)
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Local navy’s patrol capabilities perhaps most powerful anti-piracy tool. However,
regional navies lack equipment, training, and funding. Mainly limited to inshore/
harbour area patrols with little capability to defend full territorial waters. (8-9)
Conclusions: (10-11)
More research needed, particularly on current coastal trade and fishing industry
trends. Recommends outside research funded by UK Government or interested private
research organisations.
(2) Various studies, most notably by Oceans Beyond Piracy (OBP), have pegged
the economic cost of piracy in the billions of dollars range. However, these studies have
focused almost exclusively on the costs borne by the shipping industry, in the forms
of preventive measures and ransoms, and by foreign militaries attempting to interdict
11 http://www.thecitizen.co.tz/magazines/31-business-week/21629-piracy-threatens-ea-sea-transport.html
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(4) Fishing is one of East Africa’s largest economic drivers and is vital for
economic growth in the region. In recent years, however, there has been a drop in
fishing across the region. The Seychelles’ government has compiled perhaps the most
detailed analysis of piracy’s effect on their fishing industry and can be used as a proxy
for regional dynamics. At a workshop dedicated to the effects of piracy on fishing in the
Indian Ocean in February, the Seychelles’ Minister for Development claimed that the
island nation was losing approximately 4% of GDP each year.15 Fishing dropped 46%
between 2008 and 2010 in the island nation.16 In both Tanzania and Kenya the number
of fishing licenses requested has dropped in recent years and anecdotal reports suggest
local fisherman are easy targets for Somali pirates. In April, the Tanzanian Deputy
Minister for Fishing suggested that the $2 million in government revenue collected
from fishing licenses could have been doubled if not for piracy.17
(5) The tourism industry has been equally hard hit by East Africa’s newfound
reputation for piracy. While attacks on land by militants in Northern Kenya, most
notably the series of kidnappings near Lamu, have certainly played a role, the effects
of piracy on visits by cruise ships is dramatic. In 2008, 35 cruise ships called at Kenyan
ports, and it was hoped that number could rise to 50. Instead, however, the number
dwindled to zero by 2011. Given that each cruise ship stop generates about $300,000,
the Kenyan economy is missing out on approximately $15 million each year.18 Tanzania
has experienced a similar decline; from a peak of 20 visits by luxury liners in 2006, in
2010 just two visited. By 2011 no cruise ships were stopping at the East African country’s
ports, according to Tanzania’s Naval Commander.19 Data on Mozambique’s tourism
trade is unavailable, but as piracy continues its march southward (see map below), it
also is likely to suffer similar drops in the tourism trade.
Source: EU/
NAVFOR 1
15 The Impacts of Piracy on Fisheries in the Indian Ocean, European Bank of Conservation and Development Meeting,
February 2012
16 http://www.aries-risk.com/news/industry-news/seychelles-president-dont-manage-piracy-problem-solve-it
17 http://www.thecitizen.co.tz/magazines/31-business-week/21629-piracy-threatens-ea-sea-transport.html
18 http://www.issafrica.org/uploads/22Feb12Kenya.pdf
19 http://www.thecitizen.co.tz/magazines/31-business-week/21629-piracy-threatens-ea-sea-transport.html
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(6) The final economic effect of inshore piracy on East African states is the
slowing of offshore oil industry development. In the last year major oil fields have
been discovered off the coasts of Kenya and Tanzania, the size of which rival North
Sea reserves. Further south, off of Tanzania and Mozambique, natural gas reserves
equivalent to several billion barrels of oil have been discovered and, if developed, could
provide much needed financial reserves to develop these states. However, oil companies
are extremely cautious about beginning exploration and extraction given the security
problems that surround the region. Political instability is a further challenge, but the
vulnerability of oil platforms and their supply boats, combined with the spread of piracy
southwards, is an important source of oil industry caution.
(7) The spread of piracy to the southern reaches of East Africa necessitates a
dual response, divided into the strategic and the operational levels. The long-term,
strategic goal must be to remove the attraction of piracy through the development of
Somali government, infrastructure, economy and education. However, given the OBP
calculation that a pirate makes upwards of 100 times the next potential income, such
development will be a decades-long process at best. In the meantime an operational
response is needed to protect innocent vessels and raise the opportunity cost of piracy.
(8) While the EU and US-led taskforces have UN permission to operate within
Somali waters, further south they are excluded from East African territorial waters
(though, along with South Africa, they do patrol in international waters). There remains,
therefore, a need for Kenyan, Tanzanian and Mozambique navies to patrol and interdict
piracy within the 12-mile limit. However, none of these navies are effectively equipped
to deal with piracy problems. While accurate assessments are difficult, the Tanzanian
navy, with patrol duties covering over 1400km of coastline, is thought to have less than
15 active patrol boats, many of which are of 1980s vintage.20 The Mozambique navy is
even worse off, and is largely limited to patrolling the area around Maputo harbour. This
leaves over 2400km of territorial waters unprotected.21 It possesses only a handful of
ocean-going craft alongside approximately 20 RHIBs donated by the US. Many of these,
however, are dedicated to patrolling inland waterways.
(9) The Kenyan navy is the best equipped of the three, having had a series of patrol
boats and offshore patrol ships donated by western countries. It is the only one of the
three able to undertake any operations outside its territorial waters. However, its fleet
is aging significantly; many of its vessels were built in the 1980s and a few even in the
1970s.22 Therefore, a significant need exists, especially in Tanzania and Mozambique,
for coastal patrol vessels that can deter and interdict pirates operating in territorial
waters. However, given the economic difficulties of both countries, it is unlikely either
can afford to buy such vessels at all, let alone provide the needed numbers, equipment
or training to make them truly effective.
20 http://articles.janes.com/articles/Janes-Sentinel-Security-Assessment-Central-Africa/Navy-Tanzania.html
21 http://articles.janes.com/articles/Janes-Sentinel-Security-Assessment-Southern-Africa/Navy-Mozambique.html
22 http://articles.janes.com/articles/Janes-Sentinel-Security-Assessment-Central-Africa/Navy-Kenya.html
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(10) This analysis offers an introductory brief on the economic effects of piracy
on East African economies south of Somalia. As piracy has spread, so, too, have the
negative effects on the three countries along the African coast. Two conclusions can be
drawn. First, there is a serious lack of independent data and first-hand research done on
these issues. The issue of coastal trade, in particular, would merit further examination to
understand how best to protect the livelihoods of coastal traders and to ensure needed
commodities reach far-flung local ports. In addition, given the importance of fishing to
these economies, a more detailed analysis of piracy’s effect on the industry, as has been
done in the Seychelles, is a research project ripe for investment.
(11) The second conclusion, tentatively based on the evidence available, is that
piracy is having a significant negative effect on East African economies (tourism
numbers alone suggest that conclusion) and that increased investment in patrol vessels
is needed to safeguard the coasts. While donations from the US and other countries
have provided some capability in terms of harbour and inshore patrols, assets capable
of patrolling up to and beyond territorial waters are needed. This analysis, therefore,
recommends an investment in research to more fully understand the effects of piracy on
East African economies alongside a full investigation into the patrol boat requirements
of the Kenyan, Tanzanian, and Mozambican navies.
(12)
Africa Partnership Station (APS) is more a concept than any specific ship or
“station.” With our international partners, APS is a series of activities designed to build
maritime safety and security in Africa through working together with African and
other international partners. Not all navy activities around Africa are considered part
of APS. Instead, we conduct certain events which embody the spirit of cooperation and
partnership that help build African Maritime Safety and Security capability and capacity.
APS responds to specific African requests for assistance that benefits the international
community as well as the United States. APS is in line with the mission of the United
States Africa Command. It seeks to bring partnerships into action through cooperation
among many different nations and organizations, and promotes maritime governance
around Africa. Whether ships are pulling into ports and working with the host nation to
address maritime issues, or countries partnering in law enforcement operations, these
events fall within the scope of APS. APS is inspired by the belief that effective maritime
safety and security will contribute to economic prosperity and security on land. To
address each of these issues successfully, partners must work together with a common
purpose.
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We believe that security of the seas is essential for global security. There is a
relationship between security of the sea, the ability of countries to govern their waters,
a country’s prosperity, stability and peace. The oceans of the world are a common bond
between the economies and countries of the world. Seventy percent of the world is
water, 80% of the world lives on or near the coastline and 90% of the world’s commerce
is transported on the ocean. Individual nations cannot combat maritime problems
and crimes alone and APS is a direct response to the growing international interest in
developing maritime partnerships.
A Shared Vision
APS and partner nations in Africa, the United States and Europe want to answer
African leaders’ requests to build a prosperous Africa. We all want to achieve safe
borders, stability and prosperity.
This project is about enabling African nations’ militaries to stand on their own.
Our goal is to empower African nations to stop maritime crime and the movement of
illegal goods at sea on their own. To do that, we are working together to create a set of
shared goals, including improving maritime security which will help ensure African
coastal nations are better able to protect their own resources and citizens.
Working together through this shared vision, we are all contributing to safety and
prosperity throughout Africa.
Advantages
History
The idea for APS began in 2006 during a series of maritime conferences in West
and Central Africa when African leaders stated their desire to improve the ability of
African countries to govern their waters and create a stable maritime environment. The
first official APS mission deployed in November 2007 for six months. To date, APS visits
have trained thousands of military personnel in skills such as seamanship, search and
rescue operations, law enforcement, medical readiness, environmental stewardship and
small boat maintenance.
http://www.c6f.navy.mil/about%20us.html
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Abstract
I. Introduction
Terrorist groups use ocean-going commercial cargo vessels, cruise ships, and
coastal freighters as conveyances to transport terrorists, weapons, and materials around
the world and to facilitate the exchange or bartering of terrorism-related goods and
services. A “business alliance” between terrorists and a vast network of profit-oriented
transnational criminal organizations (TCOs), which include regional gangs and
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• In May 2002, the news media cited a U.S. Coast Guard report that 25 Islamic
extremists had recently stowed away onboard commercial cargo vessels in two
1 http://www.hstoday.us/content/view/9599/322/.
2 http://www.cbc.ca/canada/story/2001/10/25/stowaway_farid011025.html.
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• In February 2002, Italian police in the port of Trieste captured eight al Qaeda
terrorists as they jumped from the cargo ship M/V Twillinger, which had
recently arrived from Egypt. The terrorists were Pakistani and carried large
sums of cash and fraudulent identification.4
• The following year, in January 2003, Phoenix Group Vessel Security Team
officers in the port of Manzanillo International Terminal–Panama spotted
a motorized cayuco (native canoe) with several persons onboard entering
the port area and passing below the dock. The Panamanian Coast Guard
(SMN) responded to a call for assistance and captured the intruder boat and
passengers. The two would-be stowaways were carrying backpacks containing
food, water, and clothes; one was Colombian and the other an Irish national.
Further investigation by Panamanian Immigration and Coast Guard identified
the Colombian as a member of the Colombian terrorist group FARC and the
Irishman as a probable member of the IRA.5
3 http://www.foxnews.com/story/0,2933,52628,00.html.
4 http://www.washingtonpost.com/ac2/wp-dyn/A56442-2002Dec30?language=printer.
5 Phoenix Group Intelligence Report, Republic of Panama, January 2003.
6 Interview of confidential source in London P & I Club, December 2006.
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While ships are being used as unwitting hosts, the preponderance of reporting
and incidents suggest that in the majority of the cases either the ship owner or crew
are knowledgeable of or participate in these transport operations. This complicity
negates the need for individuals to surreptitiously board the ship and in instances when
the vessel is at berth, terrorists access the vessel under the guise of being new crew,
visitors, or passengers or bribed port security do not challenge their entering the port
or the ship. Frequently, terrorists board these ships while she is staged off the coast.
In these cases, terrorists are ferried – via inflatable boats, canoes, fishing boats, and
yachts – to waiting freighters. Well publicized cases in Europe include the August 2002
incident involving the cargo vessel M/V Sara – whose captain radioed an emergency
SOS to Italian marine authorities claiming that 15 men brought aboard in Casablanca,
Morocco, were threatening him and his crew. According to press reports, the captain
stated that he had been “forced” to take the men aboard by the ship’s owners, a company
called Nova (suspected of being an al Qaeda “front” company), which, according to U.S.
and Italian intelligence sources, had a long history of smuggling illegal immigrants.
The Italian authorities discovered that the 15 passengers were all Pakistanis linked to
al Qaeda cells in Europe and were in possession of money, fraudulent documents, and
detailed maps of Italian cities. This vessel and the M/V Twillinger and the M/V Tara
– were owned by Nova and had been involved in the transport of terrorist personnel,
weapons, and documentation for several years.8
The Caribbean Rim of Central and South America has been, and continues to be,
highly active with similar incidents taking place on a regular basis. Over the past ten
7 Interview of confidential source in Panamanian law enforcement, March 2009.
8 http://www.washingtonpost.com/ac2/wp-dyn/A56442-2002Dec30?language=printer.
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years, the migration of Hezbollah, Hamas, and al Qaeda terrorists to South America
generally has followed a route from the Middle East, Near East, and North/East Africa to
Venezuela, Guyana, and Ecuador. While some of these terrorists travel to havens in the
Tri-border Region or Iquique, Chile or port towns in Ecuador, a large percentage travel
west from Venezuela and Guyana -- or north from Ecuador -- onboard general cargo
and container coastal freighters to Riohacha, Colombia (closest port to Maicao) or to
Panama. At these South American and Panamanian locations, the al Qaeda, Hezbollah,
and Hamas terrorists are staged in the homes, businesses, and secret residences of
cooperating Muslim businessmen. Interestingly, many of these terrorists carry valid
Venezuelan passports. Once in the Muslim communities of the Caribbean Rim, the
terrorists take on a “Western” appearance (jeans, polo shirts, short hair, clean shaven,
etc.) and receive instruction in the English and Spanish languages. From Panama, the
terrorists either travel onboard coastal freighters to seaports in Honduras, Mexico, or
Cuba or overland in commercial trucks or buses to Mexico.9 As evidence, consider the
following incidents and reports:
• In April 2003, the break-bulk cargo vessel M/V Dona Julia Inez arrived in the
port of Sambo Bonita (Colon) with three Jihadists onboard. The captain was
9 Operation Cazando Anguilas, US Department of Defense-contracted research study, March 2009.
10 Interview of confidential source in Panamanian law enforcement, January 2002.
11 Interview of confidential source in Panamanian law enforcement, December 2002.
12 Interview of confidential source in Panamanian law enforcement, April 2003.
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• In mid-2003, the coastal freighter M/V Jaguar departed the port of Coco Solo,
Panama, with a group of Colombian drug couriers and Jihadists onboard—
and with the complicity of the captain and crew. The “passengers” disembarked
in Bluefields, Nicaragua. This ship had made several similar voyages with
Jihadists and drug couriers during the previous year, disembarking the
passengers either in ports in Honduras or Nicaragua.15
13 Ibid.
14 Interview of confidential source in Panamanian law enforcement, May 2003.
15 Interview of confidential source in Panamanian law enforcement, July 2003.
16 Interview of confidential source in Panamanian law enforcement, March 2009.
17 http://mensual.prensa.com/mensual/contenido/2010/09/18/uhora/local_2010091810310567.asp and interview of
confidential source in Panamanian law enforcement, September 2010.
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Colombia, the terrorists board coastal freighters destined for Panama’s Pacific coast or
nearby islands.18 As an example, in March 2012, Yaee Dawit Tadese was arrested in
Quito, Ecuador, along with 66 recently arrived person from Asia, East and North Africa
(specifically Somalia), and the Middle East. Tadese, who was immediately deported to
the US on terrorism charges, was the mastermind of a vast human smuggling network
transporting immigrants – some of them terrorists – from Somalia and the Middle
East to Ecuador and Venezuela. Terrorists migrating to the US via Tadese’s network
frequently used the routes noted in Figure 2.
• In late November 2000, a commercial cargo vessel laden with bananas arrived
in the port of Ilyichevsk, in Odessa, Ukraine, from Santa Marta, Colombia.
During the discharge of the boxes of bananas, 245 boxes packed with compressed
marijuana—totaling 6,000 pounds—were discovered. The marijuana was
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• In March and May 2001, the U.S. Coast Guard racked up two drug seizures
which yielded a total of 21 tons of cocaine. The drugs were discovered in
fishing vessels crewed by Russians and destined for Mexico. Colombian
authorities reported that these cocaine shipments were owned by the FARC,
elements of Russian organized crime were performing the transportation
function, and the drugs were to pay for arms from Mexico. Investigations
related to multiple drug seizures in Mexico and onboard coastal freighters
in the Pacific Ocean identified the presence of a strategic alliance between
the FARC, a Russian TCO, and the Mexican drug trafficking organization
“Arellano Felix Organization” (AFO). Moreover, according to press reports,
Mexican law enforcement reported the discovery of documentation in raids
on AFO locations detailing an ongoing business relationship between the
FARC and this drug trafficking organization.20
• In November 2001, the coastal freighter M/V Otterloo departed from the
Nicaraguan port of El Rama after having loaded 14 containers onboard. The
containers held a total of 3,000 AK-47s and 2.5 million rounds of ammunition.
Supposedly destined for the Panamanian National Police, Panama-based
Israeli arms broker Simon Yelinek diverted the ship to Turbo, Colombia
and its arms shipment into the waiting arms of the paramilitary United Self-
Defense Forces of Colombia command (Autodefensas Unidas de Colombia,
or AUC).21
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envelopes to the Colon mosque or persons associated with the mosque and
likewise retrieve envelopes from these persons. Additional reports indicated
that the envelopes contained written communications and data CDs.22
A closer look of the shipping operations of this company raises additional questions
and obvious red flags for illicit smuggling, which may include drugs, weapons, money,
humans, and/or other material. For example, a review of the shipping documentation of
several of Grupo Karim’s containers exported from Honduras to the US revealed:
• The company ships containers to the same location in Miami but uses multiple
shipping lines. This is an unusual business practice.
• One of the shipping lines used only calls in Fort Lauderdale and not in Miami.
Discharging containers in Port Everglades (Fort Lauderdale) increase the
operational costs as they have to be drayed to the Miami destination.
22 Phoenix Group Intelligence Reports, Republic of Panama, 2003-2005.
23 http://www.freerepublic.com/focus/f-news/968461/posts.
24 Operation Cazando Anguilas, US Department of Defense-contracted research study, March 2009.
25 Ibid.
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• The Freight fees of the containers were “pre-paid”, which is unusual for a
regular Exporter.
• The “notify telephone number” was not listed on the company website and was
an unpublished or restricted number, which is contrary to standard business
practices.
• One container shipped was noted to hold “159 boxes of cotton string”. This
shipment is illogical and begs the question, “why would a Honduran factory
ship raw material to an office in the US?”
26 Ibid.
27 Interview of the Editor of Homeland Security Today, July 2010.
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The Central American-based gangs M-18 and MS-13, like the Mexican Los Zetas,
now operate from the US to Brazil – with MS-13 having already established a foothold
in Spain – and are highly organized and extremely violent transnational criminal
organizations. A US Department of Defense-contracted research study conducted in
2009 states:
Michael el Hajet, owner of Intercaribe Zona Libre, S.A. (Colon Free Zone,
Panama), also manages and has ownership in a fleet of coastal cargo freighters which
operate between Riohacha, Colombia; Colon, Panama; and several ports in Honduras.
These vessels include the: “DONA ISABEL”, “INTREPIDE”, “DON EDGAR”, “ORURO”,
“NATALIA”, “CANDELA”, “DORIS GIL”, and “CLARA”.
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As visualized in the map above (Figure 5), terrorists board westbound vessels in
Riohacha, Colombia and disembark to small boats along the coastline east of Colon
(from Isla Grande to Nombre de Dios), or in the ports of Coco Solo or Cristobal. Drug
shipments also are loaded onboard in Riohacha and off the coast of Barranquilla/Turbo
and transported to Panama. In the next leg of their journey, the terrorists board an “el
Hajet” freighter either in a Colon port or off the coast and travel to an island near Roatan
or to La Ceiba, or transfer at sea to one of Urtecho’s fishing boats for ferrying to the
coast. Upon arrival on shore, M-18 or MS-13 in 4x4 off-road vehicles rendezvous with
the terrorists and transport them – generally under Honduran Border Police escort – to
the Guatemalan border. The route generally is from the coast to San Pedro Sula to Santa
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Figure 5. “El Hajet – Urtecho – Sinaloa Cartel” Smuggling Operation: North and
Southbound route for transporting terrorists and contraband
Barbara to Copan and across into Guatemala. According to press reports, in April 2010
the US Coast Guard intercepted a coastal freighter off the Caribbean coast of Panama
and detained five MS-13 members found onboard. The gang members were brought to
port, transferred to US Embassy personnel, and flown out of Panama. Panamanian law
enforcement identified the coastal freighter as one in el Hajet’s fleet.29
V. Mitigation Strategies
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VESSEL SECURITY RING - The key to effective vessel security and deterring
or preventing incidents involving the transport of terrorists and their materials is to:
exercise strict access control at the gangway, including a search of all persons and items
carried onboard; know who is onboard at all times; maintain the waterside secured;
scrutinize all trailers, containers, hustlers, etc., entering or exiting the vessel; and
conduct post-arrival and pre-departure inspections. All vessels calling on the port
should be assigned a vessel security team [VST]. The VST, depending on the type of
vessel, should include 4-7 security personnel, and should be deployed from the time of
arrival until time of departure, as well as when the vessel is at anchorage.
Figure 7. Security Officer patrolling the Waterside and another inspecting the
engine room during vessel search
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PORT FACILITY SECURITY PLAN - There is an old military adage that states,
“Proper Planning Prevents Poor Performance.” This is likewise true for port and vessel
security. The absence of comprehensive, realistic, and tested written security policies,
plans, and procedures likely will ensure the failure of the port security program.30
References
Kimery, Anthony, Unholy Trinity, Homeland Security Today, Vol. 6, No. 8 (2009), 24-36
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Abstract
Key Words: Somali, Piracy, Land-based solutions, Offshore, Onshore, Piracy Cost.
I. INTRODUCTION
Following the collapse of the Somali Central government, there were massive
destructions of several institutions including the maritime security forces, which
were involved in securing the longest coastline in Africa and Middle East.
This has spawn the way to the emergence of uncontrolled waves of illegal activities
including, illegal fishing, dumping toxic and waste materials, while these activities had
created structured piracy groups hijacking the vessels using the route in the mid of
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1990s, as the route became widely uncontrollable and commonly used by different
groups fulfilling their own interest and all these illegal activities made the Somali
Coastline the most dangerous water in the World.
In the mid of 2005, the piracy on Somali Coastline has widely become the most
dangerous attacks against the vessels using the Indian Ocean and Red Sea. On the
emergence of the piracy there were young groups claiming to protect their own sea
and ocean. Continually in 2006 pirates began to expand their attacks off the Somali
coast up to 350 nm while also they had extended their attacks both the Indian Ocean
and Gulf of Aden, the piracy activities on Somali coast had escalated and worsened and
consequently the area of Somali Federal member state of Puntland became the most
dangerous coastal area of the region.
Somalia has hit the press, as we are all aware of, what we are seeing there is
unprecedented criminal phenomenon, where pirates are exposing attacks including
the seizure of vessels, boarding of vessels, kidnap of crew as well as general attacks
and continued robbery. As the Somali Coast piracy attracted the attention of the
international community globally.
According to the study of Bowden and Basnet, 2012, notes that since 2005 the
number of the recorded piracy attacks and attempts was significantly high according
to several international specialized divisions of maritime issues where more than 97
were recorded in the first quarter of the last year 2011 off the Somali coast, however
previously the number shows slight more.(Bowden & Basnet, 2012)
As the costs of offshore anti-piracy maritime mission is quite immense and non
efficient, yet the mission has not been re-calculated and while the strategy is not adding
up for the achievement of the required outcome, but unlikely it only focuses on offshore.
Amid of 2008 a UN resolution permitted the entrance of Somali territorial waters with a
mandate of anti-piracy, these countries has been notified under UN and NATO.
The piracy attacks off Somali coast had sky rocketed since 2005 and then attracted
the eyes of the international community on 2008, as the numbers of hijacked vessels for
ransom were over-counted, this was about several other factors which added up to their
advancement of both technology and equipment.
In the most significant pirate hijacks occurred mid of 2008 when they seized a
vessel carrying Soviet Tanks, ammunition and other heavy weapons, to Mombasa Kenya.
The hijack M/V Faina Vessel caused the Somali piracy to be seen as more dangerous
than before, however this was not their last hijack of a significant vessel but on the same
year they seized again another huge vessel carrying crude oil which worth billions of
dollars, while these hijacking took place near the coast of Kenya next to Somalia.
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The above image shows the expansion of Somali Piracy and their effect of World’s
trade hub, while considering Kenya and India as important trade areas.(Bowden &
Basnet, 2012)
Along with their mother ships they became capable of attacking deep in the sea
and developed further their capabilities to ultimate availability.
There were several studies conducted to discover the impact of Somali piracy, one
of these studies include a study conducted by One Earth Future Foundation on 2012
which estimated that Somali Piracy had already caused an impact of USD 7 billion a
year in just about on Indian Ocean.
The study by Bowden & Basnet, (2012) also continued to note that international
governments has been spending USD 1.3 billion per year in order to strengthen
their support to tackle Somali Piracy under the UN mandated mission of Somali Anti-
piracy mission.(Bowden & Basnet, 2012)
These over-exceeding costs will be sustained even in the near future, so it is quite
important to consider sustainable solutions which can provide the required outcome.
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These figures and much more are not showing the better expected outcome on
offshore Somali anti-piracy maritime mission, while again the study of One Earth
Future Foundation estimates that almost USD 5.5 billion spent only by the shipping
industry per year on shipping Indian Ocean. There are also much more estimated costs
incurred by the Shipping industry while they travel on the Indian Ocean, including
costs of speed of navigation, and other efforts.
The Somali Pirates had enormously adapting with the anti-piracy maritime
mission, while they were adjusting their tactics, techniques, in order to stay on
the business. Moreover the number of pirate attacks has decreased slightly in 2012 due
to the patrolling naval operations, but the outcome is not yet encouraging.
In Somalia, Piracy is considered as one of the biggest problems facing the Somali
citizens and also rendering several other problems to global, and these modern Somali
pirates are causing irritations to ships using the Indian Ocean and Gulf of Aden, where
a great number of vessels carrying commodities use this route. Somali Coast was
experiencing constant increase of pirate attacks during the years beginning from 2005.
There is no doubt that Somali Piracy had a major impact on every Somali citizen
which has effected widely on several live aspects stretching from daily life to joining and
collaborating with global businesses. Increase in the normal shipping cost to scarcity of
vessels to ship goods and other materials to Somalia become a devastating problem on
Somali citizens and businessmen. Most probably every boat carrying goods to Somalia
will calculate imaginable insurance costs which eventually have direct effect to last
consumers, while everyday these costs are hit their peak.
The cliché of that piracy has contributed to the Somali economy remains baseless,
while the tremendous costs related to the Somali piracy were over counting. Never
mention the piracy problems imposed on the normal Somali fishermen who routinely
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strive for their daily live, depending on their catch, and the ad hoc tackle of piracy
directly affect their daily fishing. In most recent days some reports indicated that the
Somali Fishermen cannot go beyond 3 KMs deep into the sea or otherwise they face
imminent threat from the patrolling warships in the area.
In Most recent years pirates were massively contributing to the insecurity of the
whole country while they paid some direct stream of money to Al-shabab which impose
threats both Somali citizens and in large scale to the whole world.
In terms of piracy investment of both light and heavy weapons were also major
problem to the security of the nation on the long run. Currently Somali piracy is
enjoying overpower against the Federal sate member of Puntland, where they dare to
hold hijacked ships and personnel inside the territory.
Somali piracy had also immensely worsened the image of Somalia in general,
some Somali scholar referred that piracy had changed the Somali image for ever given
their imposed uncountable problems on Somali citizens; in just about some folks
engaged in these activities it imposed bad image on every citizen.
In this regard, Somalia has much to offer with its longest coastline on the continent
and its unexploited natural wealth, it would be the engine of growth and prosperity for
the region.
The thing which is widely accepted is that in order to contain a situation, home
grown solutions are quite effective and productive; while Somali piracy remained
a global threat it had already cost hundreds of millions with great number of lives.
Curbing the Somali piracy in a parallel with non sustainable stability will again cost a
lot, so in this paper I suggest several soft power solutions for curbing the Somali piracy,
while referring to the findings of several studies about the Somali Piracy and their best
proposed solutions.
As the Pirate attacks in parts of Somalia coastal were brewing, there were
several other places inside Somalia where pirates could not dare to wage actions against
vessels. Unlike South Central Somalia, Somaliland remained relatively safe from
piracy and other sea crimes.
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Considering the situation of Somalia which remained volatile in the past two
decades, building stable environment is quite indispensible for the long run guarantee
of piracy free area, where regulations are executable for the advantage of both Somali
citizens and safety of the vessels sailing through Indian Ocean and the Gulf of Aden.
The Improvement of Somali situation will also broadly help the success of the
international efforts towards tackling piracy and also will make effective the reach of the
desired outcome.
and the measurers to fight piracy and illegal activities were not in operation also
in past two decades, but absolutely there were some trials and initiatives being made
to enhance the Somali maritime security. Currently there is an enormous need to re-
establish the structure of Somali naval forces, in order to fill the largest gap of maritime
security which the nation lacks.
Considering the studies conducted to discover the impact of Somali piracy, one of
these studies include a study conducted by One Earth Future Foundation on 2012 which
estimated that Somali Piracy had already caused an impact of USD 7 billion a year in
just about on Indian Ocean.
According to the study of Bowden & Basnet, (2012) Moreover the studies also
continued to note that international governments has been spending USD 1.3 billion
per year in order to strengthen their support to tackle Somali Piracy under the UN
mandated mission of Somali Anti-piracy mission. (Bowden & Basnet, 2012)
Just building the Capacity of local security forces and the judicial sector of
Somalia can relatively bring a difference to the attainment of the free piracy area, while
financing in a sustainable manner and in parallel with the structures and governmental
institutions. USD1out of $10 of the current incurred cost can work efficiently if
it’s diverted to building Somali naval and security forces. For Instance; utilizing from
Somali Security Forces will only absorb $200-500 per month per person, where
currently incurred thousands with the offshore anti-piracy missions.
Somali Maritime Academy (SOMA) considered the backbone for protecting and
tackling illegal activities on the longest coastline in Africa, and Middle East.
There are also quite numerous initiatives to implement the soft power solutions
and also land-based mission, which can provide acceptable outcome.
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In order to better tackle the Somali piracy, there is a need to establish anti-piracy
security Network which aimed to monitor the piracy movements and other activities
and also to design for early detection and giving warnings if they try to engage attacks to
vessels. Monitoring hot areas will also allow detecting the piracy bases and capabilities
which eventually reduce their capacity to engage any illegal activities.
In regard to the development of Somalia, the Pirates can be tackled in a long term
developments in several sectors which can contain the boost of the economy of the
country, as the economy of Somali depends on sectors including livestock, agriculture
and fishery, the phenomenon re-establishment of the Somali light factories will enhance
the emergence of industries that could boost the economy massively.
Bueger, (2012) explains as the Somali coast is quite rich; the maritime economy
of Somalia can immensely boost the approach of discouraging pirate activities.
Establishment of cooperative fishing groups equipped with the required fishing
capabilities will help them generate their income and eventually contribute to the
economy of the country in a whole.(Bueger, 2012)
In the long term, the solution to prevent the recurrence of famine lies in the
sustainable development of the drought sensitive regions, this will require long term
investment in many areas including security health, education, and infrastructures so
the people in this area will have the opportunity to engage in productive economic
activities and up-lift their living standards.
On the other hand, Somalia was once the first in Africa of livestock raising,
and was moving towards more industrialized country before the civil war erupted,
hence again we can promise the re-establishment of Somali economy and creation of
developed nation.
these activities are illegal and will cause devastation to both Somali citizens and their
reputation in the international arena.(Holzer & Jürgenliemk, 2012)
XIV. Conclusion
USD1out of $10 of the current incurred cost can work efficiently if it’s diverted
to building Somali naval and security forces, For Instance; utilizing from Somali
Security Forces will only absorb $200-500 per month per person, where currently
incurred thousands with the offshore anti-piracy missions.
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I. Introduction
This study seeks to analyze the relationship of maritime security and nuclear
terrorism. It will demonstrate the place and the significance of sea in nuclear terrorist
attack scenarios, analyze the risks at the sea, and put forward recommendations
to prevent or mitigate such risks. It tries to answer the following questions: What is
nuclear terrorism? What are the steps for carrying out a nuclear terrorist attack? What
are likely targets? Where is the sea in this picture? What are the legal instruments that
the international community has used so far to cope with this threat at the seas?
To answer these questions, the chapter is structured as follows: The first part will
introduce the “threat.” Taking advantage of the vulnerabilities of the maritime domain
in order to carry out a terrorist attack (or more specifically nuclear terrorism at the
sea) and threats to maritime security are two different but related issues. This study will
tackle them both: In the first case, in general, terrorists seek to find the vulnerabilities
of a state to carry out an attack. Maritime domain presents such vulnerabilities, such as
the lack of sufficient controls for cargo before, during or after the shipment. The second
is about giving harm to maritime commerce, bottlenecks, seaports, etc… to disrupt the
commercial flow of goods or strategic commodities, to paralyze trade, and probably
with serious environmental consequences, hence giving damage to state security at
military, political, economic and environmental levels. These issues need clarification,
thus the first section will introduce the threat and likely scenarios. Then, it will focus
on nuclear terrorism and the steps to carry out a nuclear terrorist attack. It borrows
from Ferguson and Potter that if any link in this chain of steps can be cut off, the risk of
nuclear terrorism can be mitigated (Ferguson and Potter 2004, p. 6).
Next, the capabilities to conduct nuclear terrorism will be introduced, and the
threat will be assessed in the context of the transportation of material and delivery of
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the weapon in order to understand the risks at the seas and to see the possibilities that
terrorists might exploit. The article will present the likely scenarios of transportation and
delivery, such as cargo ships and oil tankers carrying “nuclear cargoes,” or detonation
of the bomb at the port. The literature also draws attention to the difficulties in delivery,
which will be mentioned as well.
I. The Threat
The spread of weapons of mass destruction (WMD)- that is, proliferation- and
international terrorism have been identified as two of the most significant threats to
international security since the end of the Cold War.1 They became prominent security
threats particularly after September 11, 20012 attacks as terrorist groups expressed
interest to use WMD in order to inflict mass casualties and create instability (Mowatt-
Larssen 2013).
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for terrorist groups, because it is hard to find the perpetrator. Terrorist groups find
WMD attractive in terms of prestige: Possession would “raise status” due to the use of
“advanced” means to carry out an attack.
The type of weapon that would have the highest physical and psychological
impact is nuclear. It would kill people, destroy infrastructure and have long-lasting
effects. The so-called “loose nukes” have been a cause of concern after the dissolution
of the Soviet Union due to lax controls on idle nuclear material and insufficient border
security (Allison 2000, pp. 34-35). Although it is hard for terrorist groups to obtain or
manufacture a nuclear device, there were reports on the possibility of an attack with a
radiological device (or a “dirty bomb”) or a “suitcase bomb” (Muller 2008).
Nuclear terrorism means the use of nuclear materials to carry out terrorist attacks.
Terrorists may target nuclear facilities, steal or purchase nuclear weapons and detonate
them, build nuclear weapons (which is a low probability), or disperse radioactive
materials. They may attack nuclear facilities, carry out sabotage on these facilities,
especially nuclear power plants, which would result in the release of large amounts of
radioactivity and nuclear material. Also, they may attack spent nuclear fuel pools (in
nuclear power plants) which are more vulnerable than the nuclear reactor core, because
they contain five times as much radioactive material as the reactor core (Zalman 2012).
Apart from acquiring nuclear weapons and detonating them, terrorists might
steal or purchase fissile material, fabricate a nuclear weapon and detonate it. The weapon
they build is called an improvised nuclear device (IND). They may also find it attractive
to build an IND with lower-grade unenriched U-235 even if that would not yield tens
of kilotons equivalent of TNT, but only a few. Finally, they may acquire radioactive
materials, fabricate and detonate a radiological dispersion device (RDD), that is, a dirty
bomb, or a radiation emission device (RED) (Ferguson and Potter 2004, p. 3).
One needs to see the steps to carry out a terrorist nuclear attack in order to reduce
its risk, that is, to know where and how to apply counter-measures. These are:
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5. The ability to transport the IND (or its parts) or the intact nuclear weapon
6. Detonation of the IND or intact nuclear weapon (Ferguson and Potter 2004,
p.6).
It can be argued that if any link in this chain can be cut off, nuclear terrorism risk
can be mitigated (Ferguson and Potter 2004, p.6).
How likely is a nuclear terrorist attack in the maritime domain? What are likely
targets and scenarios? The next two sections seek to answer these questions.
When there is low and/or uncertain risk with large-scale consequences, this
is a challenging risk scenario: a low probability-high impact event is considered as
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unacceptable (Posner 2004, pp. 120-122 cited in Allen 2008, p. 176), such as with use of
WMD.
Terrorists may also smuggle a bomb (Parfomak and Fritelli 2007, p. 19). Therefore,
terrorists may use the maritime transportation system as a conduit to transport weapons
or to disrupt maritime transportation. They may transport CBRN, high explosive
weapons, weapon components, narcotics, and prohibited or restricted commodities
with commercial ships. The threat with greatest consequences is the use of the maritime
transportation system to deliver a nuclear weapon (DHS 2005, p. 3), which will have a
devastating impact.
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from providing countries, thus, terrorists may avoid security checks at the point of
initiation (Medalia 2004b, pp. 3, 4, 6). Legal and illegal crossings present opportunities
to terrorists: Legal crossings include seaports, airports and border stations although
smuggling a nuclear weapon through a legal crossing could be hard. Illegal crossings are
lines, i.e. unguarded coasts and land borders (Medalia 2004b, p. 4).
If the aim of terrorists is to cause human casualties, they may target passenger
ships or carry out an attack in a heavily populated port. If their aim is economic loss, they
may target oil tankers or their routes to disrupt shipping to impact critical infrastructure
or commerce, and to give environmental harm. The aim of new terrorism is to inflict
huge damage to maximize media coverage, public awareness and psychological impact.
Terrorists may use ships as delivery vehicles for WMDs or chemicals and explosives in
cargo ships or onshore storage tanks to attack maritime communities or give harm to
infrastructure (Parfomak and Fritelli 2007, pp. 3-5).
The 2007 CRS report lists the following terrorist attack scenarios involving the
use of WMD:
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• sarin gas attack on a cruise ship in port (Shear 2004 cited in Parfomak and
Fratelli 2007, p. 10)
• bombing and sinking LPG tanker in a major commercial and naval shipping
channel (Pinto and Talley 2006 cited in Parfomak and Fratelli 2007, p. 10)
• attack on a LNG terminal and tanker in port” (Parfomak and Fratelli 2007,
pp. 9, 10).
Some of these scenarios do not involve the use of CBRN but they may be
considered as “WMD” due to their consequences. Also, what is transported might be
the target of attack (Smith 2010, p. 26). The CRS 2007 report tackles three prominent
attack scenarios: nuclear or dirty bombs smuggled in shipping containers, attacks on
LNG tankers and on passenger ferries (Parfomak and Fratelli 2007, pp. 3-7).
The level of “mass disruption” one could expect from a “dirty bomb” in a
container might be produced by recreational and other small fishing vessels (Grenberg
et. al. 2006, cited in Allen 2008, p. 179). WMD may be smuggled in ship-borne cargo
containers and maritime terror attacks may be carried out in ports or at sea in areas of
concentrated shipping, such as the Straits of Gibraltar (Parfomak and Fratelli 2007, p.
4) or the Turkish Straits.
Terrorists can also use boats and light aircraft loaded with explosives for suicide
attacks, consider merchant and cruise ships as kinetic weapons to hit another vessel,
warship, port facility or offshore platform. Commercial vessels (vessels for civilian use)
may be seen as “launchers” for missile attacks; they may employ underwater swimmers
to infiltrate ports and unmanned underwater explosive delivery vehicles. They may use
vessels to transport explosives or WMD to detonate in a port or an offshore facility
(DHS 2005, p. 4).
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The use of an oil tanker to transport a nuclear weapon is another possible scenario.
If terrorists consider a nuclear attack using a tanker, they would need to acquire a nuclear
device and smuggle it onto the ship. They might seek to place it inside one of the oil
tanks, but this would require them to make it sit tight. Detection of a nuclear bomb in
an oil tanker is hard, especially for a bomb inside an oil tank. It is hard to detect a bomb
inside a supertanker, first due to its size, and second due to the thickness of steel. These
factors make the detection devices using gamma rays unworkable. Another means is
neutron activation to find out radioactive material however, this method would fail,
because the neutrons will be absorbed by the hydrogen and carbon atoms in crude oil.
There are also problems with alternative detection methods (Medalia 2004c, pp. 3, 4).
When we look at the likelihood of a terrorist attack with the use of WMD, in
2008, the Commission on the Prevention of WMD Proliferation and Terrorism
surmised that the likelihood of a WMD terrorist attack is likely towards the end of
2013 “unless the world community acts decisively and with great urgency” (Allison et
al. 2008, p. xv) Also NATO, in its Comprehensive Political Guidance, endorsed in the
2006 Riga Summit, underlined that “[t]errorism,… and the spread of weapons of mass
destruction are likely to be the principal threats to the Alliance over the next 10 to 15
years” (NATO Comprehensive Political Guidance , 2006). However, the probability of
a terrorist nuclear attack is very low (Global Security Newswire 2011; Allison 2008).
The possessor states would be expected to refrain from supplying material to a terrorist
group fearing from retaliation from the international community, and especially the
United States (Ferguson and Potter 2006, p. 9).
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the threat can be ignored. Terrorist attacks with the use of RDD are seen among the
gravest maritime terrorism scenarios, which would have devastating impact on world
economy since it could cripple global trade (See Medalia 2004a). The likelihood of a
dirty bomb attack has been seen relatively likely than a nuclear attack (Lugar 2005, p. 6).
Obtaining a dirty bomb is not easy and poses challenges. The most likely scenario
is the potential smuggling and detonation of a nuclear device or dirty bomb in a
shipping container at a port (GAO Report 2012, p.1; Lipton 2006). The vulnerability
of shipping containers to terrorist infiltration makes an attack more likely due to the
above-mentioned reasons: In short, their large size, being packed far and away from
the loading port, and the transportation means being trucks, which makes the integrity
of the cargo to rest on the trustworthiness of the truck drivers (Parfomak and Fratelli
2007, p. 18).
The challenges of carrying out a WMD terrorist attack at the sea decrease the
likelihood of a maritime terrorist attack. There are operational difficulties in carrying
out terrorist attacks in maritime environment, especially compared to attacks on land
which could be a preferred option for terrorists (Parfomak and Fratelli 2007, p. 23).
The CRS 2007 report determines the following challenges for terrorists in
maritime environment:
• Terrorists must take into account tides, currents, wind, sea state, visibility and
proximity to land in a maritime terror operation
• Terrorists may need to acquire skills in navigation, coastal piloting and ship
handling
• Maritime targets are few, the probability of damage is low and casualties
are secondary to the intended target. There are also problems with filming
the attacks at sea, which will lower the probability, thus it may reduce the
desirability of maritime targets (Pelkofski 2005, pp.20-24 cited in Parfomak
and Fritelli 2007, pp. 23, 24).
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another vessel full of explosives. However, even if it is a failed operation, an attack with
the use of nuclear material would still create publicity/media event (Smith 2010, p. 30).
According to the Maritime Commerce Security Plan for National Strategy for
Maritime Security prepared by the United States Department of Homeland Security,
applying security measures at different levels- that is, “layered security”- mitigates
threats better than single point defense, because by layered security, threats in the
supply chain could be identified earlier, especially before the cargo enters the maritime
realm and is loaded on vessels.
The procedure of secure transit aims to ensure that cargo remains secure as it enters
and moves through the maritime domain. Appropriate international organizations
should be engaged to ensure consistency and improvements across the supply chain
(DHS 2005, p. 8). A layered approach has the advantage of identifying and interdicting
threats while they are away from national borders and this is essential for maritime
security. The risk of a weapon of mass destruction concealed in a shipping container is
a potential worst case scenario (DHS 2005, p.9).
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The efforts for the nonproliferation of nuclear weapons and WMD in general
are embodied in the respective international regimes (international law, regulations,
international organizations, etc…) to prevent their spread, but they are too broad to be
tackled in this piece.
9/11 was the turning point regarding the development of responses to nuclear
terrorism at the international level, and led states, especially the United States, to take
measures. Terrorism and proliferation of WMD along with illicit trafficking of material
were listed as top threats on the international security agenda (The National Security
Strategy of the United States of America, 2002; European Security Strategy, 2003).
There were several governmental and non-governmental efforts to address them in the
years 2004 and 2005. The main legal documents lying at the basis of the prevention
of WMD proliferation and terrorism in the context of maritime security are the UN
Security Council Resolution 1373 which addresses terrorism, the UNSCR 1540 dealing
with threats posed by non-state actors with weapons of mass destruction, and the SUA
Convention (1988) and its Protocol (2005).
The UNSCR 1540 (2004) was passed under Chapter VII of the UN Charter, and
its first sentence reads: “Proliferation of nuclear, chemical and biological weapons as
well as their means of delivery constitutes a threat to international peace and security.”
“Maintaining international peace and security” is the primary purpose of the UN.
The wording that “proliferation is a threat to international peace and security” makes
prevention of proliferation a primary goal that should be reached by any means possible.
It is also an important document, because for the first time, it is explicitly stated that
states should refrain from supporting non-state actors “that attempt to develop, acquire,
manufacture, possess, transport, transfer or use nuclear, chemical or biological weapons
and their means of delivery” (Article I, UNSCR 1540, 2004). Thereby, it discourages
state sponsorship of terrorism by signaling the “consequences,” because these provisions
are supported by Chapter VII of the UN Charter (titled, “Enforcement”). According to
the Resolution, States should adopt national legislation to prevent WMD proliferation
and to establish domestic controls over related material to prevent their illicit trafficking
(Article II, UNSCR 1540, 2004). The Resolution also encourages enhanced international
cooperation on such efforts (Article XIII, UNSCR 1540, 2004).
international levels to effect the full implementation of the Resolution. Resolution 1977
(2011) mandated the Committee to focus more on providing technical assistance and to
enhancing cooperation with relevant international organizations (The 1540 Committee-
UN).
The other legal text that concerns the prevention of illicit trafficking of WMD and
terrorism is the Suppression of Unlawful Acts Against the Safety of Maritime Navigation
(in short the SUA Convention-1988) and its Protocol (2005). Just as the UNSCR 1540
commences with the sentence that WMD proliferation is a “threat to international peace
and security”, the Protocol specifies that “terrorism is a threat to international peace and
security,” thus referring to the Chapter VII of the UN Charter.
The 1988 SUA Convention was introduced to address the legal uncertainties
concerning the fundamental issues of the law of the sea, following the Achille Lauro
incident in 1985. It adopted the provisions of the previously existing anti-terrorism
conventions to the maritime field. But its difference is its underlining of a deep concern
about acts of terrorism, because terrorism is considered as a grave threat to international
community (Tuerk 2008, p. 374). However, it did not sufficiently address the limitations
of the law of the sea and international criminal law. For instance, law enforcement
provisions to address an impending offence were missing (Young 2009, p. 9).
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The provisions of the SUA Convention proved insufficient for the new kind of
terrorism targeting international commercial shipping, because it would be impossible
to deter suicide bombers (Wolfrum 2006, p. 12). So a Diplomatic Conference was held
in December 2002, and it adopted various new security measures (IMO 2002a). There
were amendments to the 1974 Convention on the Safety of Life at Sea (SOLAS) to
enhance maritime security and the International Ship and Port Facility Security Code
(ISPS) was adopted to enhance the security of ships and port facilities (IMO 2002a).
This new maritime security regime for international shipping entered into force in July
2004.
The SUA Convention also went through examination by the IMO Legal
Committee, and it was concluded that the unlawful (refers to acts of terrorism) acts in
the 1988 Convention and Protocol were too narrowly defined and that they required
expansion to cope with new terrorism, and the transportation of WMD or related
material (IMO 2002b). Also, they did not allow inspections in the high seas or help
ships that were attacked. The original SUA Convention and Protocol were amended
and now are called the Suppression of Unlawful Acts Against the Safety of Maritime
Navigation and its Protocol (2005).
The core provisions of the 2005 Protocol to the 1988 Convention are Article
3bis and Article 8bis. Article 3bis enlarged the offenses covered by the Convention,
and Article 8bis relates to ship boarding and provides a mechanism to enforce the
provisions (Harrington 2007, pp. 107-122 in Tuerk 2008, p. 358). The Preamble of the
Protocol states that terrorist acts threaten international peace and security. This is the
endorsement by the international community that it is a significant threat that should
be prevented and the means to that end will be legitimate.
The focus of Article 3bis (1)b is on the transportation of materials that could be
used in a terrorist attack. It specifies the following as an offense if a person transports
on board a ship:
Article 3bis of the 2005 SUA Protocol introduced four new offences: These
are offences with motives of terror, transport offences, NPT and its exceptions, and
other offences. For the first category, the Protocol introduced offences like using
or discharging explosives, radioactive material or biological, chemical and nuclear
weapons against a ship or from ship, discharging oil, LNG and hazardous and noxious
substances, using the ship in a manner to cause death or serious injury or damage and
threatening to do these acts (SUA Protocol 2005, Article 3bis (1)a). Transport offences
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cover the transport of explosives, radioactive materials, biological, chemical and nuclear
weapons, fissionable material or equipment designed to use, process or produce special
fissionable material, equipment or software technology to produce NBC weapons. The
exception is the control of the transport of material by a State Party to the NPT and
subject to the conditions of the Treaty SUA Protocol 2005, Article 3bis (1)b. The other
offence category includes helping criminals, that is, people who committed an offence
according to the Protocol, engaged in terrorist acts or who are trying to evade criminal
prosecution (SUA Protocol 2005, Article 3ter).
Article 8 reads that “the master of the ship of a State Party (flag state) may
deliver to the authorities of any other State Party (the receiving state) any person who
the master has reasonable grounds to believe has committed an offence set forth in the
Article 3, 3bis, 3ter or 3 quater” (SUA Protocol 2005, Article 8). The act of boarding at
sea is the major contribution of the SUA Protocol:
Article 8bis (4) reads: “A State Party that has reasonable grounds to suspect that
an offense set forth in article 3, 3bis, 3ter or 3quater has been, is being or is about to
be committed involving a ship flying its flag, may request the assistance of other States
Parties in preventing or suppressing that offence.” Article 8bis (4)b states that “… the
requesting Party shall ask the first Party [the “flag state”] for authorization to board and
to take appropriate measures…” (SUA Protocol 2005, Article 8bis (4)).
The SUA Convention of 1988 and its Protocol (2005) constitute an international
response against terrorism on ships and fixed platforms, armed robbery at sea, and
proliferation of WMD (Gehr 2009, p. 8). These legal instruments tackle not only
maritime offenses, but also those involving illicit use of WMD, nuclear material,
explosives, radioactive material, oil, LNG and other hazardous and noxious substances.
The 2005 SUA Protocol criminalizes WMD-related offences and includes new offences
like using a WMD against a ship or fixed platform, discharging WMD from a ship or
fixed platform, and transporting nuclear weapons on ships (SUA Protocol 2005, Article
3bis). With the inclusion of these new offenses, the 2005 SUA Protocol also emphasizes
environmental protection. It also criminalizes the intention of using these substances to
intimidate a population or to compel a government or international organization (SUA
Protocol 2005, Article 3bis(1)b(i)).
Apart from UNSCR 1540 and the SUA Convention and Protocol, the NPT,
Comprehensive Safeguard Agreement (CSA), and the Model Additional Protocol (AP)
are important measures to enhance maritime security by preventing illicit trafficking of
nuclear material at sea (Seseanu 2009, p. 19).
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the IAEA ensures that there is no undeclared material or activities. Thus, the IAEA
can conclude that all nuclear activities are peaceful. Appropriate implementation
of safeguards requires a sound legislation and regulation system, which must be
consistent with international obligations. The provisions of SSAC, licensing, inspection,
enforcement, criminalization and import and export control should be included in
national legislation (Suseanu 2009, p. 21).
IV. Conclusion
The threat of terrorism at the sea was addressed by the 1988 SUA Convention
and Protocol for the first time. With the 2005 amendments to the Convention and the
Protocol an international treaty framework was provided to combat and prosecute
individuals who use a ship as a weapon or means of committing a terrorist attack, or
transport terrorists or WMD-related material by ship. These new instruments reflect
the shift in the mood of the international community and the perception that terrorism
is an international crime that can only be addressed successfully by international
cooperation (Tuerk 2008, p. 366). The UNSCR 1540 and the SUA Protocol explicitly
state respectively that proliferation of weapons of mass destruction and terrorism are
threats to international peace and security-which underlines that the international
community strongly supports measure to cope with them.
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Jesus, Jose Luis (2003), “Protection of Foreign Ships against Piracy and Terrorism at
Sea: Legal Aspects,” The International Journal of Marine and Coast Law, 18 (3), 363-400.
Lipton, Eric (2006), “US to Expand Cargo Scans to Detect Nuclear Material,” New York
Times, http://www.nytimes.com/2006/12/08/us/08cargo.html?_r=0> (accessed 8 July
2013).
Lugar, Richard G. (2005), The Lugar Survey on Proliferation Threats and Responses,
Washington, D.C.
Medalia, Jonathan (2004)a, Terrorist “Dirty Bombs:” A Brief Primer, CRS Report No.
RS21528, Washington, D.C.
Medalia, Jonathan (2004)b, Nuclear Terrorism: A Brief Review of Threats and Responses,
CRS Report for Congress, Washington, D.C.
Medalia, Jonathan (2004)c, Port and Maritime Security: Potential Terrorist Nuclear
Attack Using Oil Tankers, CRS Report for Congress, Washington, D.C.
Mellor, Justin S.C. (2002), “Missing the Boat: The Legal and Practical Problems of the
Prevention of Maritime Terrorism,” American University International Law Review, 18
(2), 341-397.
Model Protocol Additional to the Agreement(s) Between State(s) and the International
Atomic Energy Agency fort he Application of Safeguards, INFCIRC 540 corr. (1997).
Parfomak Paul W. And John Fritelli (2007), Maritime Security: Potential Terrorist Attacks
and Protection Priorities, CRS Report for Congress, Washington, D.C.
Pelkofski, James (Captain) (2005), “Before the Storm: Al Qadea’a Coming Maritime
Campaign,” US Naval Institute Proceedings, 131 (12), 20-24.
Pinto, Ariel C. and Wayne K. Talley (2006), “The Security Incident Cycle of Ports,” Old
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Posner, Richard A. (2004), Catastrophe: Risk and Response, Oxford: Oxford University
Press.
Smith, Ron (2010), “Maritime Security and Nuclear Cargoes,” Disarmament Forum 2,
25-33.
Shear, Michael D. (2004), “Va. Terror Drills Set Up Worst-Case Scenarios,” Washington
Post, p. B01.
Protocol of 2005 to the Convention for the Suppression of Unlawful Acts of Violence
Against the Safety of Maritime Navigation (SUA Convention), (2005), London.
Suseanu, Ionut (2009), “Nuclear Proliferation and Sea Transport: The Role of the NPT
and Comprehensive Safeguard Agreements (CSA) within the 2005 SUA Protocol,”
Conference Report of the Workshop for ASEAN Member States on “Developing an
Integrated Approach to Maritime Security Through the Counter-Terrorism Convention,
Criminal and International Law: Legal Perspectives, Capacity-Building” Singapore, 19-
21.
The National Security Strategy of the United States of America, Washington, D.C., 2002.
The Structure and Content of Agreements Between the Agency and States Required in
Connection with the Treaty on the Non-Proliferation of Nuclear Weapons, INFCIRC/153
(corr.), IAEA, June 1972.
Young, Christopher (2009), “The 2005 SUA Protocol: New Offences and Boarding
Provisions,” Conference Report of the Workshop for ASEAN Member States on
“Developing an Integrated Approach to Maritime Security Through the Counter-
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Wolfrum, Rüdiger (2006), “Fighting Terrorism at Sea: Options and Limitations under
International Law,” 28th Doherty Lecture for the University of Virginia School of Law,
Washington, D.C.
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Internet Sources:
“FBI Official Sees 100% Likelihood of WMD Strike on US,” Global Security Newswire,
February 17, 2011, available at http://www.nti.org/gsn/article/fbi-official-sees-100-
likelihood-of-wmd-strike-on-us/ (accessed July 8, 2013),
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imo.org/blast/mainframe.asp?topic_id=280&doc_id=2327 (accessed July 8, 2013).
(IMO 2002 b)
Muller, John (2008), “The Atomic Terrorist: Assessing the Likelihood,” Paper presented
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Global Maritime Security: New Horizons
I. Introduction
Being situated close to regions posing high risks of proliferation, Turkey not only
monitors developments in this field, but also takes part in collective efforts aimed at
devising measures to reverse this alarming trend.
90% of world trade currently travels by sea, representing around 93,000 merchant
vessels, 1.25 million seafarers, and almost six billion tons of cargo. Since the end of the
Second World War, seaborne trade has doubled every decade.
The rise in international terrorism in recent years has increased the potential for
CBRN attacks against not only ground forces and installations but also against maritime
forces. CBRN agents were not used to attack the USS COLE and Merchant Vessel
LIMBURG1, but these two well-known conventional explosives attacks by terrorists
show the desire and capability of terrorists to reach marine vessels afloat and indicate
that maritime forces are vulnerable to CBRN incidents.
Today global economy is inseparable with the global security. In this respect, the
task of securing the sea lines of communication, nodes, ports and terminals along with
related infrastructure has increased the responsibilities of the littoral states since a sea
borne security crisis or a disaster has a domino effect all around the globe.
When in port and operating near shore, ships are more vulnerable. Ships in port
are usually static, with open hatches to allow storing and maintenance. Additionally,
port area often presents many opportunities for clandestine attack. Ports themselves are
often attractive strategic targets for hostile attack, which may include the use of CBRN
weapons or devices.
1 http://asiastudies.org/file/publication/ashik/article%20for%20web.pdf
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Global Maritime Security: New Horizons
PSI activities include the regular holding of activities known as “exercises,” which
aim to test the authorities and capabilities of endorsee nations to interdict WMD-related
materials. Exercises can include “live action” events such as ship boardings or container
searches, or be limited to “tabletop” activities where subject matter experts (SME)
explore legal and operational interdiction questions related to a fictional scenario.
Purpose of the exercise was to enhance action readiness and cooperation among
national institutions as well as a swift and effective cooperation between participating
states, in order to counter illicit trafficking and proliferation of CBRN weapons as well as
missiles and materials that could be used to produce such weapons or delivery vehicles
to terrorists and countries suspected of trying to acquire weapons of mass destruction.
Elements present in the exercise were civil defence services, security and customs
check, CBRN control, health measures, prosecution, hailing and boarding, coast guard.
Maritime part of the exercise was conducted in Antalya port and bay in a LIVEX
environment. The air and ground part of the exercise was conducted as CPX. Turkey,
US, France and Portugal provided some naval, air units and special teams5 . The detailed
inspection in quarantine area was established in Antalya Bay
PSI is still a developing concept. In this process, more work needs to be done
to harmonize PSI activities with international and national law and hence, promote
its globalization. Turkey’s geostrategic position, her surrounding neighbors, coastal
states and different security blocks must be realized by international community. To
implement all PSI commitments are not easy task.
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The exercise has highlighted the need to improve the administrative and technical
skills and capabilities of Turkish institutions. As a result, many institutions including
Turkish Navy have begun improving their skills and capabilities in order to better cope
with our PSI commitments.
It is understood that the gadgets or CBRN defence are not the only solution for
proliferation concern. It is required more holistic approaches which are included more
government agencies work together before, during and after the event.
National and international law remain the basis of conducting PSI activities. It
is required that a national or prime minister directive needs to bring all government
agencies.
There are different national and international agencies against WMD proliferation.
The process of coordination between those agencies is so slow because of bureaucracy
and different understanding international maritime law. So during the worst-case
scenario (if there is a confirmed intelligence a merchant ship is carrying WMD related
material) present mechanisms like NATO, OBSH6 could be used for deterrence or seize
the unlawful shipment.
The technical part of the exercise has to be coordinated and supported by an expert
government agency. Otherwise lots of technical skills and procedures are hampered to
the PSI’s other commitments including intelligence sharing, political decision making
process, command control.
The all counter proliferation exercise should be reviewed and lessons learned
issues could be transferred to NATO doctrine documents7.
6 http://www.mfa.gov.tr/joint-declaration-between-the-republic-of-turkey-and-the-russian-federation-on-progress-
towards-a-new-stage-in-relations-and-further-deepening-of-friendship-and-multidimentional-partnership_-moscow_-13-
february-2009.en.mfa
7 The author, Sümer KAYSER was served as CBRN Defence officer in Turkish Naval HQ between 2002-2008.
He participated to NSA Doctrine & Terminology Panels and drafted Maritime Section to AJP 3.8.1 (CBRN Defence in
Operations). After ratification of AJP 3.8.1, he drafted a new CBRN Chapter to ATP 71 (MIO), this new chapter was sent by
CBRN OPS WG to MAROPS WG. He was the project officer of “Naval WMD Responcce Center.
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Global Maritime Security: New Horizons
Turkey, being a member and supporter of such international bodies and initiatives,
decided to increase its capabilities in order to support preventing the proliferation of
WMD. With the need of a new specialist Naval CBRN capability (first tested it in above
mentioned Exer Anatolian Sun-06) against proliferation of WMD at sea, Turkey started
to work on a new concept regarding WMD Counter Proliferation as a part of Maritime
Security Operation (MSO). The result of this concept development gave birth to a new
command (unit) called “WMD Response Center”.
CBRN Security Team is basicly a SOF (Special Operations Force) unit which is
CBRN trained and able to conduct boarding operation to a vessel in CBRN environment.
CBRN EOD Team is CBRN trained EOD Team; capable to dispose CB weapons
and also able to conduct EOD tasks in a CBRN environment.
CBRN Defence Team members are all CBRN Specialists. Divided into 3 separate
units within, they are able to conduct CBRN Recce, Survey,Sampling, Warning &
Reporting; CBRN Decontamination and Medical Countermeasures.
• To train naval vessels ‘boarding party to get “CP in MSO Certificate” before
attending an Operation,
8 This paragraph was drafted by Lt.J.G.Gökalp Kürşad GÜNGÖR.He is currently working in Naval WMD Responce
Center.
9 The 2005 Protocol to the SUA Convention adopted a set of well-defined procedures for boarding a ship in international
waters suspected of violating its provisions. It is significant that the participating Parties at the diplomatic conference were
extremely cautious to maintain the primary jurisdiction of the flag State in line with codified and customary international law.
The Protocol subjects the right to board a vessel suspected of committing violation of the acts provided under the Convention
to the express consent of the flag State. It stands to reason that if international consensus existed for expanding the right to
interdict foreign vessels in international waters, certainly the 2005 Protocol which deals with the prevention of international
terrorism would have provided the right legal forum. The strong will of States to maintain flag State jurisdiction over a vessel
on the high seas was reaffirmed by the international community under the 2005 Protocol. This provides further evidence of
State practice in limiting the exceptions allowed to interfere with the right of freedom of navigation on the high seas
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Global Maritime Security: New Horizons
• To assist military ports and terminals (if requested) in terms of CBRN Defence
as an expert team,
The Alliance Maritime Strategy11 and the Smart Defense12 initiative constituted
the main incentive for the Turkish Navy to establish MARSEC COE in participation
with interested allied and partner countries aiming to contribute to maritime security
conceptually and practically.
The main philosophy behind the MARSEC COE, inspired from smart defense
approach, is to draw together the experience from allied and partner countries and
exploit this pool of expertise to foster dialogue among relevant military and civilian
stakeholders on the basis of multinational, cross-functional, interagency coordination.
The last decade the risks affecting maritime security can be categorized in 7 areas,
these are the focus areas of the MARSEC COE;
• Terrorism at sea,
• Proliferation of WMD,
10 The author was the Project officer of MARSEC COE in Turkish Naval HQ between 2009-2012. He served as a Maritime
Security Branch Chief
11 http://www.nato.int/nato_static/assets/pdf/pdf_2011_03/20110318_alliance_maritime-strategy_CM_2011_23.pdf
12 http://www.e-ir.info/2013/03/25/making-natos-smart-defence-initiative-work/
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Global Maritime Security: New Horizons
• Smuggling
13 http://www.nato.int/cps/en/natolive/51288.htm
14 http://www.dgmm.tsk.tr/
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Global Maritime Security: New Horizons
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Global Maritime Security: New Horizons
CONCLUSIONS
Özlen Çelebi
It has always been an important issue for human beings to ensure their security.
It is also possible to claim that not only for human beings but for all the creatures
living is about staying secure in their living places. But what is security? Security as
a concept is too large and complex to define easily. It is difficult to make a general
definition of security because, there are many components that draws the limits of our
security perception. Whose security we are talking about? How to provide security?
Which elements do we or may we have to secure our lives and environment? In general
it is assumed that security is the degree of protection from real or perceived harms or
threats. It is also difficult to talk about security without having any references to the
term “insecurity”. These two concepts define our living ways in many aspects. Security
is defined in most of the dictionaries as “freedom from risk or danger, safety” or “state
of being secure” or “the state of being free from danger or threat.”1
Although security is one of the constant figures of human life, definition of the
concept may (actually does) change by time. Thus, security perception does change.
Parallel to changing security perceptions the tools and devices to provide security
do change, too. Beginning with the last episode of the 29th Century, in other words
1990s, scope of security studies have been enlarged. Security is a larger concept now
than it was 30 years go. Traditionally, security was studied in International Relations,
for instance, as an area specific to national security. It was assumed that security was
about protecting the national borders, the state and the nation (as a national property
or an asset) from real and possible threats posed by enemies. Enemies were usually the
other states or sometimes terrorists. Although this way of looking to security issues/
studies is still available at many circles (academic and non-academic) there are new
definitions of the term. Following the end of a bi-polar structure of international system
at the end of 1980s-beginning of 1990s, security studies started to get concentrated not
only on national security but also on societal and individual security, too. Normative,
1 http://oxforddictionaries.com/definition/english/security
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Global Maritime Security: New Horizons
constructivist and critical theories and/or theoretical approaches have directed our
attentions to the different components of security concept. Currently, it is quite often
to talk about new topics such as environmental security. Today, it is possible to talk
about floods, epidemics, poverty, human trafficking as well as arm and drug trafficking,
pollution, information, media sources as some of the challenges to security. Furthermore,
contemporary security studies are gaining a new characteristic: Today security studies
have an interdisciplinary characteristic more than ever. The interdisciplinary nature
of new generation security studies also requires enhanced international cooperation.
Sates, international governmental and non-governmental institutions and individuals
(let them be statesmen or leaders or an ordinary person on the street) can and should
play greater roles in providing security on earth. Another repercussion of enlarged
scope of security studies and increasing numbers of interdisciplinary security studies is
changing security perception of world public opinion. Although it is early yet to claim
that there is a growing world community with a greater respect to peace, there are signs
which increase hopes that the new generation security studies will contribute to the
establishment a more peaceful international order. However, on the dark side of the
moon, there are other factors that contribute to the deepening of insecurity feelings/
perceptions of World public opinion. World-wide terrorist activities, environmental
degradation, civil wars, growing poverty and less efficient administrations in struggling
with those challenges do obviously not contribute to the development of a peaceful and
secure environment for human beings.
Security and state are two concepts with a deep relationship. They are supposedly
to support each other in a constructive way. International and national security
environment do draw a framework within which national and international security
policies and decision-makers’ security perceptions are defined. On the other hand,
national states and state structure (together with the domestic political-cultural structure
and leadership) have impacts on international security environment. There is another
concept which is used even interchangeably with the concept of security: Safety. It is
defined in most sources as “the condition of being protected from or unlikely to cause
danger, risk, or injury.” 2 This concept is generally used for human safety. However, it
is possible to claim that it is not that easy to make a separation in most cases between
safety and security.
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Global Maritime Security: New Horizons
the will of partners on more international cooperation. The aim is to foster dialogue
amongst the NATO member and partner countries.
Maritime security rules were applied for many decades without a major change.
However, contemporary problems and facilities are challenging this old regime to adopt
new instruments (legal, technological and so on). Chapters of this book reflect both
the traditional approaches and new challenges. First, just like the security concept in
general, maritime security concept is getting enlarged. It is obvious that there is a need
for an enhanced cooperation at international level to prevent threats and risks imposed
by the new challenging forces. Almost every chapter refers to that fact. Second, there is
a need for more interdisciplinary studies in maritime security field, too. The book itself
is an outcome interdisciplinary study. Editors and authors who do belong to different
fields of study and profession came together in conference hall to analyze military and
non-military aspects of maritime security. The presentations and discussion at Aksaz
Workshop, 2012 have evolved into chapters of this book. Third, this book may contribute
not only to an accumulation of knowledge or literature in maritime security field, but
also may contribute to further discussions on prospected security-safety nexus. It is not
possible to rely only on the state itself to provide maritime security and safety of people
and goods at sea. There are other actors than the state. These actors had to be given a
wider role to act at international level. Furthermore, security cannot be ensured at the
expense of safety of people. There is a need for more humanitarian approach.
Finally, it is obvious that this book has raised many questions for further research
in such areas as the role of technology, how to break down the barriers that so often
impede efforts at cooperation and coordination, the relationship between piracy and
terrorism and the relationship between safety and security. Perhaps the most pressing
issue that emerged involved maritime domain awareness and the need to delineate its
dimensions in a precise manner.
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Global Maritime Security: New Horizons
Yusuf Zorba is Assistant Professor Doctor at Dokuz Eylül University. He teaches on Ship
Handling, Meteorology, Emergency Procedures, International Maritime Conventions, Voyage
Planning and Management, and Security management at Sea. He has served a Deputy Head of
Department of Marine Transportation Engineering at Maritime Faculty since 2002.
Brian Wilson is the Deputy Director of the Global Maritime Operational Threat Response
Coordination Center. Captain Wilson is also an adjunct Professor at the United States Naval
Academy, where he teaches Piracy, Maritime Terrorism and Law of the Sea. Captain Wilson has
written numerous articles and book chapters on interagency and maritime security, with his
work appearing in Harvard International Review, Columbia Journal of International Affairs and
Stanford Journal of International Law.
Taner Albayrak is Assistant Professor Doctor at and also Vice Dean of Maritime Faculty
of Piri Reis University. He served in Turkish Navy mostly in operations, education and training
management duties. He also served as captain of frigate and Commodore of a naval division. He
also served at NATO HQ and several UN Peacekeeping Missions.
Allen Hjelmfelt is a researcher at the Center for Naval Analyses since 1994. He has
received his BA in Chemistry from Stanford University in Palo Alto, CA. After graduation he
conducted research as a chemist in Germany for two years.
Edgar Bates is worked in the Office of the Chief of Naval Operations for almost
ten years, his last position being Head, Integration, Interoperability and Transformation
Branch, Warfare Integration; Deputy Chief of Naval Operations, Communication
Networks (N2/6) where among other activities in his portfolio he was instrumental in
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Global Maritime Security: New Horizons
the fielding of Maritime Domain Awareness, a key initiative of the Secretary of the Navy.
After serving nine years as a Commissioned Officer in the U.S. Navy, he was instrumental in the
integration of a revolutionary signal processing and tracking system within the Navy’s Integrated
Undersea Surveillance System (IUSS) spearheading the Navy’s evolution to network centric
Undersea Warfare. He was a principal systems engineer at Raytheon (originally Hughes) for
several projects including the Upgraded Early Warning Radar (UEWR) which is part of the
National Missile Defense program; the winning proposal ($3.6B) for the next generation of Navy
ships; and a state of the art RF communications network for rangeless air to air combat training.
He has directed and supported the activities of numerous large-scale software installation, test
and integration activities at sites around the world. Dr. Bates is a former member of the research
faculty at the Naval Postgraduate School.
Michael A. McNicholas is the Managing Director of Phoenix Group in the USA, Panama
and Costa Rica. He is the author of Maritime Security: An Introduction. He has served at the
US Army as Officer. He is a former sworn Police Officer. He is a specialist in counter-narcotics
trafficking and international terrorism.
Christopher Ledger has served in the army between 1961-1974. He has joined in 1974
Shell UK Exploration and Production in Public Affairs department. He He was appointed as
Head of Shell UK Films in 1979. He left Shell in 1992. He set up a crisis management company
using computer software to manage crisis. Called Cicero the software revolutionized the abilities
of organizations to communicate accross management in times of crisis and often complete
confusion. He set up Idarat maritime Ltd. as a systemis resilience advisor to several governments,
firm owners and lawyers.
Sümer Kayser is a Captain. He was graduated from the Naval Academy in 1990. Currently
he is working in MARSEC COE as Deputy Director. He is a member of Contact Group on Piracy
of Somalia WG. His decoration includes NATO Medal (Kosovo and Former Yugoslavia).
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