Susan Vandiver, P.E. Gerard Ibarra Dr. Jerrell Stracener

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

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

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

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

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

6. 1. State the Problem (cont.) • Identifying, understanding, and analyzing the interdependencies among infrastructure systems has taken on increasing importance in the last few years.

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

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

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

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

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

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

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

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

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

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

17. National Plan for Research and Patriot Act (October National Strategy for Homeland Development in Support of PDD-63 (May 1998) 2001) Security (July 2002) Critical Infrastructure Protection (2004) Telecommunications Telecommunications Information and Telecommunications Telecommunications Banking and Finance Financial Services Banking and Finance Banking and Finance Transportation Transportation Sectors Transportation Transportation Systems Energy Energy Energy Energy Water Systems Water Water Water Emergency Services Public Health Public Health and Healthcare Chemical Chemical Food Agriculture and Food Agriculture Postal and Shipping Postal and Shipping Defense Industrial Base Government Emergency Services Defense Industry Information Technology Key Assets Key Resources Historic Attractions National Monuments and Icons National Monuments Dams Icons Government Facilities Events Nuclear Reactors Materials and Waste U.S. Critical Infrastructure

18. Infrastructure System Block Diagram

19. Infrastructure - Example of Interdependencies Port of Tacoma Machine Shop Aluminum (Russia) Fuel Enterprise Port of Houston Refinery

20. 2. Investigate the Alternatives

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

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

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

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

25. Current Coverage(monitoring 31 vessels) Courtesy of USCG

26. Antenna mounted between 150’ - 200’ Courtesy of USCG

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

28. Lightering LOOP East and West Flower Gardens Lightering Prohibited Courtesy of USCG

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

30. Highway Transportation from the Port of Houston Disconnects in the Highway Infrastructure

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

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

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