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5 authors, including:
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1)
Hamburg Port Authority AöR, Germany, Email: Phanthian.Zuesongdham@hpa.hamburg.de
2)
D’Appolonia, Italy, elisabetta.noce@dappolonia.it
3)
ISDEFE, Spain, mvsalaris@isdefe.es; amgomez@isdefe.es
4)
Instituto Superiore Técnico (CENTEC), Portugal, pantao@mar.ist.utl.pt
RAPORT aims to support operational parties in ports as Following the FSA methodology (recommended by
well as regulatory bodies and community parties to IMO) five steps are defined and their associated infor-
agree upon accepted residual risks for port operations, mation is provided.
and is a key result of the research project EFFORTS A description on how the user can go through the differ-
(EFFective Operations in poRTS) funded by the Euro- ent steps to perform his own risk assessment and can
pean Commission in the scope of the 6th Framework access to two real case-studies (courtesy of Port of Gi-
Programme. jón and Port of Dublin) as examples of the platform
This paper describes RAPORT concept and provides a usage is provided in Chapter 4.
short description of the information available in its re-
positories as well as a demonstration of the application
2. Risk Management in Maritime Logistics
presented by a case study.
Risk management is a crucial issue for port operators. A
Keywords collision or an explosion of equipment or a vessel in a
port area does not only affect workers in that area but
Risk Assessment; Port Operation; Safety; Security; might also have influences to other parties such as near-
Formal Safety Assessment by-residents, industries located in the port territory, etc.
1
common understanding to this context. In this paper, we management over a framework realized through:
define: Port risk taxonomy;
Risk assessment as overall process of risk analysis and Toolbox to assess port-related risks;
risk evaluation [ISO/IEC Guide 73:2002]
Process-oriented reference architecture.
Risk management as coordinated activities to direct and
control an organization with regard to risk [ISO/IEC This set of innovation components is contained in a
Guide 73:2002] comprehensively organized “EFFORTS Risk Assess-
ment Framework” which aims at European standards in
Some of the ports in the world are advanced in the re- order to support operational parties in ports as well as
search and assessment of risks such as in New Zealand regulatory bodies and community parties to agree upon
and Australia. A wide and rich literature exists in terms accepted residual risks for port operations.
of methodologies and approaches on how risks and The International Maritime Organization (IMO) rec-
hazards can be assessed, managed, mitigated and con- ommends Formal Safety Assessment (FSA) to deter-
trolled. In maritime transport, Formal Safety Assess- mine risks of navigational measurements. IMO does not
ment (FSA) - a widely accepted methodology for risk cover port operations however it seems reasonable to
assessment and recommended by IMO - is playing a apply the same method for ports particularly because it
great role and becomes a main guideline for risk as- is more transparent than other methods and hence easier
sessment of port and ship operation nowadays. There is to explain to port operators.
a wide range of different techniques of how each FSA A development of a platform in the “EFFORTS Risk
step could be accomplished. Management Framework” so-called “RAPORT – Risk
Assessment in PORT” – is based on this methodology.
The result of investigation regarding the state-of-the-art RAPORT is an information platform. It provides a
risk assessment in maritime logistics shows that, there guideline / framework of how ports can deal with risk
are needs to simplify the usability of methodology in assessment in a simply understandable way. The plat-
risk assessment for port operators according to FSA as form composes of different sets of toolboxes and main
followings (Zuesongdham et al. 2009, p.4): application to support risk assessment activities in port.
when dealing with safety and security issues in It also includes a description how to use specific infor-
their operation, they need a systematic approach mation for FSA process in an effective way.
and tools to specify tasks for risk consulting com- In sum, RAPORT enables the users (port operators);
panies to understand and tackle sensible hazards in to identify hazardous operations;
their ports; to do a first risk assessment themselves;
they should be able to provide the complete data for
to apply best practices having been successfully
risk experts engaged as consultants for detailed in-
been applied by other ports;
vestigation and evaluation;
they should be aware of the residual risks and how to draft a proper risk assessment specification in
to include them inside the contingency plan; case of third party contracts (consultants).
they should be able to communicate the risk and In order to realize the objective defined above, a con-
how it can be managed towards residents, port ceptual model for RAPORT is needed (see Figure 1).
community (third parties) and their port staffs. Port
PortProcesses
Processes
2
ing from the port processes, associated information
according to risk assessment is provided.
Definition Model
In order to design a comprehensive approach for port
risk information platform, a definition model has to be
created and described. The general layout of the
RAPORT model includes two main parts (see Figure 2).
The first layer of information composes of two data-
bases (boxes). The “General Information” box contains
generic information such as glossary, overview of the Figure 3 - FSA Process (IMO)
framework FSA, examples of contingency plans or
expert risk studies, etc. Beside that, a Repository” box)
From the Definition Model, RAPORT Toolboxes are
includes, in a good and quick construction, all the in-
then composed of three different layers so-called Struc-
struments to be selected and developed by port opera-
ture Model as illustrated in Figure 4 and described in the
tors for their risk assessment activities.
following paragraphs.
Information in both boxes is structured in several
toolboxes able to support the development of the risk
assessment process.
Applications
FSA Projects
Scenario Creation
Risk Matrix
3
entities and can have influences on the port opera- 4. Examples of RAPORT application in port
tion as well as other stakeholders in the port area areas
such as customs, police, security, fire brigade, etc.
Also guidelines and regulations issued by these en- This chapter presents step-by step the application of the
tities are also categorized under this domain. RAPORT to port areas through two examples, as well as
Mapping the processes and possibly incurred hazards the possible integration of the platform with a Geo-
can deliver some benefits for port operator as follows: graphical Information System (GIS) for the visualiza-
Process owners in ports have on-hand information tion of the risk levels in both port and neighbourhood
about the associated hazards and risks to their pro- areas.
cesses. Therefore, it is easier to help create contin- As already explained, the RAPORT platform is an easy-
gency plan for specific operation area since the to-use instrument to support the non-risk-expert user in
possible hazards are known. performing risk assessment following FSA step-by-step.
This will allow port operators to integrate the risk as-
This approach is generic and therefore applicable
sessment and the mitigation measures inside their own
for any kind of ports irrespective to its operational
Safety Management Systems (SMS).
types or ownership models.
Examples were performed in two European medium
It enables systematic mapping between the process, sized ports (the port of Gjión and the port of Dublin),
its associated hazards and process responsible per- with the aim of testing platform to create a specific
sons. As a result, it is simpler to identify the author- project (with its scenarios and related hazards) in coop-
ity that is responsible to the defined hazards. This eration with personnel directly involved in the risk man-
will shorten the decision making process when agement of port activities.
dealing with hazards in port operation.
The port of Gijón is the Spanish leader in moving bulk
Layer 1: Information Model cargoes, mainly coal, iron and cement, and is the port
leader in rail traffic with a vast rail infrastructure at all
At this layer, different components which can be de-
the quays and terminals. The development of rail traffic
rived from the toolboxes are deployed in FSA:
reduces significantly the environmental impact of the
Hazards Identification List (Casualties and Acci-
port.
dent Types)
The case study has been done in collaboration with
Scenarios Description (Scenarios) security manager and a member of the harbor police, in
Probabilities (to be qualitatively grouped as fre- charge of the security control centre.
quent, likely, possible, unlikely, rare) Among the different terminals in the port, the coal and
iron ones have been chosen for the case-study.
Consequences (to be qualitatively grouped as cata-
strophic, major, moderate, minor, insignificant) The port of Dublin has discharging facilities liquid bulk
(oil, bitumen, chemicals, liquid petroleum gases and
Risks & Residual Risk (to be derived from Risk molasses) together with dry bulk (concentrate, peat,
Assessment Procedure) coal, grain, animal feedstuffs, fertilizer, ecocem cement
Risk Management Methodologies (Methodologies fines, etc.).
and Tools) The two projects/case studies are available to all users
as demos in the RAPORT platform. The user can access
Layer 2: Consolidated input for user interfaces to two case studies by clicking in the appropriate link in
From layer 1, different sets of information are exploited the welcome page (in the bottom of the login box).
to help create input for the RAPORT users (port opera- The RAPORT platform has been conceived guiding the
tors). A combination of this set of data enables port user in the development of a risk management project
experts to evaluate and create requirements for risk according to the 5 steps of the IMO FSA process:
experts. As a result, they can exactly give advice or
deliver the result as the aims set by the port experts for “Step 1: Hazard/Threat Identification” in order to
their risk assessment or risk management projects of his provide the following outputs:
port. o a list of scenarios and their associated hazards;
o a complete description of causes and effects.
The possible results include not only requirement defi-
nition but also the input in contingency plans which are “Step 2: Risk Assessment” in order to provide the
need to be created for specified hazards or operation of following outputs:
the port. o risk quantification (for people, environment,
stakeholder, property);
Based on the Conceptual Model, Definition Model and “Step 3: Risk Control Options (RCOs)” in order to
Structure Model, the next section will describe the provide the following outputs:
RAPORT as finished platform based on case studies
showing the capability of the RAPORT to support the o definition of the countermeasures (RCOs) to
risk assessment activity for port operators. reduce the risk to the requested admissible val-
ue,
4
o re-evaluation of the risk according to the pro- 2. Theft of a new car from Texaco Yard during the
posed RCOs. night.
“Step 4: Cost/Benefits Analysis” (CBA) in order to
provide the following outputs:
o GCORR1 and NCORR2 values which evaluate
the cost effectiveness of the applied RCOs;
“Step 5: Advice on decision”: it presents the possi-
bility to obtain and save the created risk manage-
ment project by downloading a final report both in
word and in PDF format.
Figure 5 introduces an overview of the different FSA
steps to be covered using the RAPORT platform.
Figure 5 - RAPORT platform and FSA steps (Noce by hazard category: about 40 hazard categories are
et al. 2009) available in the RAPORT database;
4.1 Hazard/Threat Identification – Step 1 by creating a new hazard: the user can add a hazard
by defining the hazard category, the cause category
In Step 1 “Hazard Identification” the user has to define and the detailed description. The added hazard has
the scenario(s) to be analyzed according to the 4W to be linked to one of the existing domain and relat-
(What occurs, Who is involved, When it occurs and ed sub-domain. The new hazard will be available
Where it occurs). The weather condition can be also only to the user and will not be included in the gen-
considered, if relevant, in terms of wind force, visibility, eral RAPORT database.
together with sky conditions.
For every hazard, a cause category and a detailed de-
For each of the created scenarios, the user has to identi- scription have been selected, as presented in Table 1.
fy the associated hazards/threats. Each hazard is defined
in terms of hazard category, cause category, detailed Table 1 – Port of Gijón – Scenario 2 – Stop unloading –
description, domain and sub-domain. Step 1
In the development of the FSA process to the port of
Gjión, the following two scenarios have been identified:
1. A Rail sabotage incident caused by an arsonist
device, placed in the grade crossing at the terminal
exit. The immediate consequence has been a delay
in the movement of the merchandise to the convey-
or belt;
2. Stop unloading with gantry crane due to a fire in
the unloading gantry crane n.2 of the terminal. The
immediate consequence has been a break in the
electric board of the main grasp elevation engine. 4.2 Risk Assessment – Step 2
On the other end, the scenarios identified during the Step 2 “Risk Assessment” is a detailed investigation and
development of the case study in the port of Dublin are: quantification of the consequences and frequencies of
1. Incident in the water caused by the explosion in the each hazard identified in the previous step. Different
quay crane 412. The immediate consequence is the types of risk (i.e. risks to people, the environment and
driver and two port workers seriously injured; property) should be addressed as appropriate to the
problem under advisement.
In this step the user will quantify the consequences and
1
Gross Cost of Risk Reduction frequencies of all the hazards selected before, by click-
2
Net Cost of Risk Reduction ing in the estimated coloured cell of the risk matrix for
5
four types of casualties: People, Environment, Harbour RCOs identified and defined in the previous step by
stakeholders and Property. comparing costs and benefits. By performing the eval-
Once the user has defined the risk index, the platform uation of different RCOs selected to reduce the initial
shows the selected values in terms of number; and two risk level, the user can compare the cost effectiveness of
alphanumeric characters (example: 7;C4;F3) that indi- each RCO and rank the RCOs from a cost-benefit per-
cates respectively the risk index, the consequence level spective in order to facilitate the decision making rec-
and frequency level selected by using the risk matrix. ommendations in Step 5.
In this step, the user should also define the lower risk The user can calculate the cost benefit of the selected
level for further analysis (RCO’s identification). The RCO by clicking on “Calculate cost benefit” link. To
acceptable risk level is normally set to 6, but the user perform the calculation of the cost benefit, the user
can decide to fix a lower one. All the potential hazards should enter in the “CBA calculation” form, the follow-
which have a risk level higher than 6 (or higher than the ing data:
different risk level decided by the user) needs to be Initial implementation costs;
reduced by activating one or more mandatory Risk Con- Expected maintenance cost per year;
trol Options (RCOs) and the related Cost Benefit Analy- Life Span: it represents the expected lifetime of the
sis (CBA). chosen RCO;
In the case of the port of Gijón, there is only one hazard Depreciation rate;
with risk level higher than 6 (7) and is the one identified Expected benefit:
as “Sinking”. This means that the FSA process contin- CBA is done through the calculation of the following
ues with Step 3 by analysing only the selected hazard two indexes assessing the impact of the chosen RCOs in
for which it is needed to activate some RCO to reduce terms of risk reduction:
the risk level.
The Gross Cost of Risk Reduction (GCORR) is a
4.3 Risk Control Options (RCOs) - Step 3 synonym of the index GCAF (gross cost of averting
a fatality) defined in the IMO FSA guidelines and it
In this step the user can select the most suitable RCOs
is calculated according to the formula provided in
listed in the RAPORT platform that has been derived
RAPORT Step 3.
from best practices successfully applied in other ports
The Net Cost of Risk Reduction (NCORR) is a
and from innovative solutions.
synonym of the index NCAF (Net Cost of Averting
The user can also create a new Risk Control Option by a Fatality) defined in the IMO FSA guidelines and
defining a name, a description and link it to one of the it is calculated according to the formula provided in
existing hazard category and the related domain. By RAPORT Step 3. Negative values for NCORR
selecting or creating a RCO, the user should define the means that the benefits are higher than the costs and
expected risk level after the application of the RCO by therefore the RCO should be implemented. The ob-
clicking on the risk matrix icon in the column “Impact tained value should be regarded as a simply indica-
of consequence and frequency”. tion as a given RCO can impact on different haz-
ards. Therefore the obtained value should be re-
Table 2 presents the RCO selected for the hazard and
garded as conservative.
the value of risk index (5) after the application of the
RCO. The platform, based on the figures introduced, calcu-
Table 2 – Port of Dublin – Scenario 1 – Incident in the lates the impact of chosen RCO in both safety and eco-
water – Step 3 nomically (Figure 7).
6
of the “Other” RCO should would give a benefit to the techniques were made available: color ramp and stack
port (the NCORR index is negative) and the risk index bar graphics. In the stack bar, the blue part represents
could diminish from 7 to 5. the “amount” of frequency and the rose part represents
In the implementation of the RCO “Increase training of the consequence “amount”.
terminal personnel to ensure that cargo is loaded accord-
ing to the load plan” even if there would be a reduction
of the risk level (from 7 to 5), the benefit would not be
justified by the costs to be met.
By performing the cost benefit analysis, the comparison
of benefits and costs associated with the implementation
of each RCO identified and defined in Step 3 are ob-
tained. For example, the reduction from 7 to 4 of the
hazard “Explosion” can be obtained by activating two
different RCOs: both RCOs have a negative NCORR
value that means that the benefits are higher than the
costs.
4.3 Use of Geographic Information Systems (GIS) for
Risk Monitoring and Risk Management
Risk experts can be flooded with volumes of data from
Figure 9 – Exemplification of the visualization of the
different sources concerning operations in the terminal
two used techniques
and their surroundings making it difficult to have an
accurate insight of the risk levels in a given moment. Different equipments, ships or areas will have different
Also, crisis management involves responding adequate- risk levels accordingly to the hazards present. Risk
ly to a certain event that impacts the operational status monitoring can be performed for the all terminal or can
or the infrastructures. Therefore, adequate knowledge of be concentrated in the hazardous areas (higher levels of
the hazards that can be involved in these events and its risk). This can be easily done by simply select the part
geographical extend is fundamental for adequate mitiga- of the terminal to be closely monitored.
tion.
Overall visualization of the terminal operations by stack
The appropriate linkage from the results produced in the bar, allows the user to have an adequate insight of fre-
RAPORT platform allows one adequate input for the quency and consequence levels of the hazards present in
GIS model particularly from the hazard identification a given moment in the terminal of the port.
(STEP 1) and risk assessment (STEP 2). The infor-
mation related to the identified hazards and their respec-
tive quantification can be “exported” from the platform
to the GIS model for a given context or scenario.
5. Benefits of RAPORT
7
tool at every step. By using RAPORT, the user can reported for sake of example of the platform usage.
perform their risk assessment more efficiently and The access to the web-based information platform is
in easier way; free and the link is http://www.efforts-raport.com.
Being process-oriented approach, RAPORT can be
used for discussion risk assessment at multilateral 7. Acknowledgements
level between ports because they use the same tax-
onomy; The work presented was performed within the project
RAPORT provides available information regarding EFFORTS - Effective Operations in pORTS, funded
risk management in toolboxes. This gives orienta- partially by the European Commission, through the
tion to the users not having knowledge in this area contract Nº. FP6-031486. The authors would like to
before and saves time-intensive information search. thank to Prof. Jens Froese (ISSUS/TUHH), Dr. Valerio
Recagno and Dr. Marina Fracchia (D’Appolonia), Prof.
RAPORT allows to perform case studies creating Carlos Guedes Soares and Mr. Bessa Pacheco (IST),
different scenarios which take in account the proper Mr Javier Carrasco Fernandez (ISDEFE), for their kind
characteristics of each port or a specific area of port collaboration in the achievement of the objectives and
operation according with the process model defined for their contribution within the project. Particular
in EFFORTS project. thanks should be given to the ports of Dublin and Gijón
Due to its generic approach RAPORT is applicable for their expertise, availability and experience during
to any kinds of ports apart from its operational all the development of the work.
types or ownership model.
The Cost Benefit Assessment helps the user in the 8. References
selection of the most cost-effectiveness RCO’s
among the existing or the ones which can be creat- DNV (2008). Risk Management, Call date: 20th July
ed 2008.http://www.dnv.com/industry/it_tel/services_soluti
ons/risk_management/.
The visualization of risk mapping on GIS provides
more effective approach in managing risk in ports ISO/IEC 73:2002. (2000). “Risk Management – Vocab-
as a complex area with high impact to community. ulary – Guideline for use in standards”.
The graphics shown on GIS helps accelerate the IMO 2007, “Consolidated text guidelines for Formal
decision making processes and enhance the discus- Safety Assessment (FSA) for use in the IMO rule-
sion during emergency planning and monitoring. making process”, MSC 83/INF.2, Maritime Safety
Committee.
Maritime Safety Authority (MSA) of New Zealand
6. Conclusions (2004). Guideline for Port and Harbour Risk Assess-
ment and Safety Management Systems in New Zeland.
The present paper describes how the Web-based plat- Zuesongdham, P. et al. (2009). “Risk Assessment (Re-
form “RAPORT” (Risk Assessment for PORT) has port and procedural model of Risk Management
been conceived and developed, being one of the tangi- Framework developed in EFFORTS for risk assess-
ble results of the EFFORTS, a project financed by the ment)”, EFFORTS project Deliverable 3.2.2.
European Commission under the VI Framework Pro-
Noce E. et al. (2009) (2009), “RAPORT Platform &
gramme.
User Guide”, EFFORTS project Deliverable 3.2.4.
A description on how the user can go through the differ-
ent steps to perform risk assessment accordingly to the
FSA guidelines had been given. Two real case-studies
(courtesy of Port of Gijón and Port of Dublin) have been