Journal of

Marine Science
and Engineering

Article
Constructing Governance Framework of a Green and
Smart Port
Jihong Chen 1,2 , Tiancun Huang 1, *, Xiaoke Xie 1 , Paul Tae-Woo Lee 3, * and Chengying Hua 1
1 College of Transport and Communications, Shanghai Maritime University, Shanghai 201306, China;
[email protected] (J.C.); [email protected] (X.X.); [email protected] (C.H.)
2 Commercial College, Xi’an International University, Xi’an 710077, China
3 Maritime Logistics and Free Trade Islands Research Center, Ocean College, Zhejiang University,
Zhoushan 316021, China
* Correspondence: [email protected] (T.H.); [email protected] (P.T.-W.L.)




Received: 31 January 2019; Accepted: 20 March 2019; Published: 27 March 2019


Abstract: Developing a green and smart port is a significant progress in the specific application of
energy conservation and emission reduction as well as intelligent technologies in global ports and
maritime shipping sectors. The paper aims to analyze the inherent relationships among different
structural factors and proposes specific countermeasures and governance policies for green and smart
port construction. It uses interpretive structural modeling analysis to divide the factors into different
levels, and draws a model map of green and smart port construction structure. The research result
contributes to providing a theoretical basis for governments to formulate a green and smart port
policies and establishing effective method systems and technical means for the port industry and
stakeholders to leverage intelligent port technologies for the port development.

Keywords: green port; smart port; interpretative structural modeling; port-shipping cooperation;
governance framework; intelligent port technology

1. Introduction
A port is not only an important platform and node in the international maritime shipping network,
but also plays a catalyst role in world economic and trade development [1,2]. Lee et al. argue that major
Asian ports are fifth-generation ports [3,4]. The first three generations of ports generally emphasize port
production and services. The fourth generation ports put more emphasis on the integration role of ports
on the global supply chain and stress flexibility and information services of port-shipping alliances
and port-port cooperation alliances. The fifth generation ports incorporate the service functions of all
the first fourth-generation ports. Especially, the fifth generation ports adapt to the green and intelligent
technology innovation trend, emphasizing that the port production and service must fit the concept
of green environmental protection and high-tech technology. The first four generations of ports paid
far too little attention to port technology innovation and environmental protection, failed to achieve
green and low-carbon development, and neglected issues such as climate change and environmental
pollution. Global climate warming is one of the huge challenges facing mankind, and people in
all walks of life must endeavor to save energy and reduce emissions. Port pollution greatly affects
the climate environment. Most of the pollution comes from port production and transport ships.
Approximately 70% of the world’s marine emissions occur in the coastal area of the port, whereas
60–90% occurs during the berthing period [5,6]. In the port handling process, there will be other kinds
of pollution, such as dust and noise. Therefore, fifth-generation ports will focus on the application of
the port intelligent technology and the realization of the sustainable green development on the basis of
the integration of the former port logistics service function [4,7]. Compared with other industries, the

J. Mar. Sci. Eng. 2019, 7, 83; doi:10.3390/jmse7040083 www.mdpi.com/journal/jmse

J. Mar. Sci. Eng. 2019, 7, 83 2 of 17

port shipping industry produces a greater polluting impact on the environment. In addition, scientific
and technological innovation is a powerful approach to increase port development competitiveness
and protect port environments. In general, studying emerging intelligent operation technologies of
ports and adhering to the green development trend of ports to build smart and green operation modes
of ports are important directions for port development currently, which is of great significance to
promote the sustainable development of ports and improve the overall operational efficiency of ports.
The development of modern ports should adapt to the trend of environmental protection,
strengthen scientific and technological innovation in ports, and realize new models for green and
intelligent development to deal with current crises and challenges in the port industry development.
Green and intelligent designs are important trends and two major goals for the future development of
ports. They have a close relationship. A green port is the macro-goal of port development, and aims
to adapt port production and operation with environmental protection. Under the premise of green
ports, smart ports strengthen technological innovation and application to apply new technologies in
port production organizations, reduce environmental pollution, and achieve the goal of the sustainable
development of green ports. Therefore, a green port and a smart port are systematic concepts of
development and are not independent from each other. However, there is no systematic governance
framework on how to build a green and smart port. The critical factors concerning the development of
a green and smart port also fail to be identified clearly. To systematically and scientifically associate
critical factors for green and smart ports into a system, we must perform a systematic analysis of
these factors and then build up the governance framework for green and smart ports with the help of
relevant models worked out. This is the main purpose of this study. This paper will use Interpretative
Structural Modeling to study the critical factors and governance framework for the development of a
green and smart port.
The rest of this paper is structured as follows. The literature review in Section 2 focuses on
the current research effort on green and smart ports and analyzes shortcomings in these studies.
Section 3 illustrates related concepts of development regarding green and smart ports and identifies
the critical factors that influence their development. Section 4 presents the research methods used
in this paper—the Interpretative Structural Modeling (ISM). Section 5 conducts empirical research,
analyzes the critical factors of a green and smart port, and builds up a green and smart port governance
framework. Section 6 states the conclusion of the whole paper.

2. Literature Review
Green and smart ports represent an important direction in port development in recent years.
Generally speaking, there are many studies on green ports and relatively few references regarding
smart ports. This paper organizes the literature from operation, science and technology, and policy
perspectives. The following is a summary of relevant literature on green and smart ports.
Some studies proposed port optimization suggestions from the operation and production angle.
Bergqvist et al. started from the green port tax to connect inland logistics with ports to enhance inland
transportation effectiveness [7]. Lam et al. focused on the mathematical model and proposed that
future research on ports and supply chains should focus on the optimization of global multimodal
transport [8]. Esmemr et al. used a simulation model to determine the optimal quantity of port
container handling equipment to improve the lean production capacity at Turkish ports [9].
Such studies are aimed at improving the efficiency of port operations. In addition, with regard to
port ecological technologies, Peris et al. discussed the relationships between port and city development
and, with Dover Port, Falmouth Harbor, and Truro Port as examples, analyzed the environmental
protection work at various ports [10]. Myeong et al. established a green space planting model for
port ecosystem to protect the port and coastal ecosystem [11]. Sawada et al. proposed an ecological
development strategy for coastal areas, taking Osaka Bay area as an example [12]. Other studies
on resource utilization show that reasonable control of resources can effectively improve the overall
sustainability of ports [13–15].
J. Mar. Sci. Eng. 2019, 7, 83 3 of 17

Some other studies put forward suggestions on port policies. Chang et al. described the importance
and design concept of the green evaluation system for ports [16,17]. Maritz et al. used the Analytic
Hierarchy Process (AHP) to figure out guiding principles for running green ports [18,19]. Park used
factor analysis to determine detailed port greenness factors and structures [20]. Karim evaluated the
“greenness” of each port based on characteristics of the ports [21]. Yang believed that the government can
roll out appropriate rules or provide incentives to encourage terminal operators to upgrade their handling
equipment to reduce port operating costs and mitigate pollution [22]. Lam studied the effectiveness of
green port policies and compared major ports in Asia and Europe such as Singapore, Shanghai, Antwerp,
and Rotterdam [23].
The above literature on green ports shows that at present there are few studies on smart ports. Bao
held the view that smart ports should involve comprehensive technologies and modern management
methods in port operation and management [24]. Siror discussed the design and operation of intelligent
port models [25]. In essence, smart ports are designed to operate and manage modern ports with
full use of intelligent technologies and means. The construction and sustainable development of a
smart port should be based on the principles of cooperative cooperation, technological innovation,
environmental protection, energy conservation, and the full use of information technology to realize
intelligent and green port operation [26,27]. In view of this, green and intelligent ports are an organic
whole system, and they are inseparable. The operation of green ports requires the support of the
scientific and technical means of the smart ports, and the operation of the smart ports need to carry out
the concept of green sustainable development. It can be seen that the two are closely related to each
other. Both of them often exist in the form of simultaneous appearance. In short, concepts of green
development and green technology permeate throughout the smart port operation process, so a green
and smart port is a port development concept of organic unity.
To sum up, most studies stuck to one perspective in discussing green ports and smart ports.
But, in fact, the factors influencing the construction of a green and smart port are diverse, and the
influences of different factors are different and interrelated. Therefore, this paper integrates and
classifies relevant factors, and uses a model to establish a green and smart port integration framework,
which can systematically put forward proposals for the construction of a green and smart port to make
up for the shortcomings in previous studies.

3. Developing Concepts and Critical Factors of Green and Smart Ports

As mentioned above, green and smart ports are inextricably integrated. Green ports and smart
ports will be integrated in operation and development [26,27]. Green ports and smarts port are
inseparable. A port should take the development of a green port as its key goal, and take the intelligent
port development mode as its key technical means. The green development of the port is the main goal
of the low energy consumption, low emission, and low pollution. The smart port development is based
on the high-tech intelligent technology to improve the comprehensive efficiency and competitiveness
of the port operation. The port’s green development needs the support of port intelligence and
technological innovation, and green development is also an important concept of the development of a
smart port. Without the concept of green development, the sustainable development and smart mode
of a port would be hardly realized. Generally speaking, green development is an important concept
of smart port. At the same time, the technological innovation application of the smart port is the key
means to achieve the goal of a green port. A green and smart port is an organic whole system (see
Figure 1); the development of green and smart port integration will be an inevitable way to achieve
sustainable development of the port in the future.
To build a more scientific and systematic governance framework for green and smart ports, this
paper defines the development concept for green and smart ports and elaborates in six dimensions
from the industry practice and academic research results, meaning greenness [28,29], agility [30,31],
personalization [32–34], cooperation [35–37], intelligence [38,39], and liberalization [40,41] are the key
elements for green and smart port development. The detailed introductions are shown in Table 1.
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key elements for green and smart port development. The detailed introductions are shown in Table
J. Mar. Sci. Eng. 2019, 7, 83 4 of 17
1.

Important development goals and ideas

Green development Smart development

of a port of a port
Promoting the
Reducing energy Development application of high
consumption and
pollutant emissions in
integration of a technology in port,
green and enhancing the efficiency
port operation,
of port operation, and
enhancing the ability to smart port enhancing the port's
control pollutants, and
ability to respond to
making effective use of
changes in the market
port resources
environment

Realization of technological innovation

Figure 1. Concept map of a green and intelligent port integration.
Figure 1.

Table 1. The development concept for green and smart ports.

Table 1. The development concept for green and smart ports.
Dimension Descriptions Source
Dimension Descriptions Source
Industrial and
Industrial and production production
modes with high modes with high
technology content, low
Greenness Greenness technology [28,29] [28,29]
resource consumption, andcontent, low resourcepollution
less environmental consumption, and
Working methods lessguided
environmental pollution
by a quick and efficient methodology subject to
Agility [24,31]
constant reformsWorking methods guided by a quick and efficient
Green Agility [24,31]
New production methodology
models that subject
are abletotoconstant reforms
meet unique market requirements
and Personalization [32–34]
in the new market
New environment
production models that are able to meet unique
Smart Green and Personalization [32–34]
market requirements
Strengthened international in the
cooperation, new market
enhanced environment
port-city integration and
Port SmartCooperation
Port
[35–37]
increased cooperation with inland
Strengthened ports cooperation, enhanced
international
More modern intelligent
Cooperation technologies
port-city integration integrated
and increasedinto port working
cooperation with [35–37]
Intelligence [38,39]
environments toinland
improve
portsport operation levels
Relaxed government regulation
More modern to give full
intelligent play to the
technologies role of market
integrated into
Liberalization [40,41]
mechanism
Intelligence to facilitate trade
port working environments to improve port [38,39]
operation levels
This paper considers 20 critical factors
Relaxedinfluencing
government the development
regulation of play
to give full a green
to and smart port,
Liberalization [40,41]
referring to a comprehensive literature the review as shown
role of market in Table
mechanism 1. The greenness
to facilitate trade concept covers
four factors: energy-saving and emission-reducing capability, pollution treatment capability,
effective
This utilization of resources
paper considers andfactors
20 critical environmental
influencing protection concept, and
the development of a policy system.
green and smart Agility
port,
covers three factors: agile production capability, comprehensive logistic capability,
referring to a comprehensive literature review as shown in Table 1. The greenness concept covers and refined
operation
four capability.
factors: Personalization
energy-saving includes port-differentiated
and emission-reducing service
capability, pollution levels, personalized
treatment service
capability, effective
levels for customers, and emergency and rapid response capabilities. Cooperation
utilization of resources and environmental protection concept, and policy system. Agility covers includes
international
three factors: port-shipping
agile production cooperation,
capability,port-city integration,
comprehensive andcapability,
logistic cooperation andbetween
refinedsubsidiary
operation
capability. Personalization includes port-differentiated service levels, personalizedand
and parent ports. Intelligence refers to intelligent production infrastructure operation,
service levels
intelligent
for customers, administration,
and emergency intelligent
and rapidfacility
response security, and Cooperation
capabilities. innovative R&D andinternational
includes technology
applications. Liberalization
port-shipping includesintegration,
cooperation, port-city the liberalization of economic
and cooperation and trade
between policies,
subsidiary andtheparent
facilitation
ports.
of logistics and customs clearance, and the openness of investment and financing.
Intelligence refers to intelligent production infrastructure and operation, intelligent administration,
intelligent facility security, and innovative R&D and technology applications. Liberalization includes
the liberalization of economic and trade policies, the facilitation of logistics and customs clearance,
and the openness of investment and financing.
J. Mar. Sci. Eng. 2019, 7, 83 5 of 17
J. Mar. Sci. Eng. 2019, 7, x FOR PEER REVIEW 7 of 19

4. Research Methodology
4. Research Methodology
Interpretative Structural Modeling (ISM) was initially used as a method for analyzing problems
relatedInterpretative Structural Modeling
to complex socioeconomic (ISM)
systems wasISM
[42]. initially used as used
is a widely a method for analyzing
analytical methodproblems
in modern
related to complex socioeconomic systems [58]. ISM is a widely used analytical
systems engineering, and it is also a kind of structural modeling technology. It decomposes method in modernthe
systems engineering, and it is also a kind of structural modeling technology. It
complex system into several subsystem elements, uses people’s practical experience and knowledge decomposes the
complex system into several subsystem elements, uses people’s practical experience and
as well as the help of computer, and finally, forms a multilevel hierarchical structure model. As a knowledge
as well as analysis
systematic the helptool,
of computer, and finally,
it is characterized by forms a multilevel
breaking hierarchical
up a complex system structure model.
into several As a
subsystems
systematic analysis tool, it is characterized by breaking up a complex system into several subsystems
and finding out the interrelationships among various elements to form a structure graph and a structure
and finding out the interrelationships among various elements to form a structure graph and a
matrix [43]. This model can transform the idea of important modules into intuitive system with good
structure matrix [59]. This model can transform the idea of important modules into intuitive system
structural relationship, especially for the analysis of system structure with many variables and complex
with good structural relationship, especially for the analysis of system structure with many variables
relationships. Through corresponding matrix calculation and conversion, fuzzy and complicated
and complex relationships. Through corresponding matrix calculation and conversion, fuzzy and
systems are clarified and streamlined. A hierarchical structure model can be set up at the same time to
complicated systems are clarified and streamlined. A hierarchical structure model can be set up at
facilitate systematic analysis to serve a powerful explanatory function. Concrete steps for building a
the same time to facilitate systematic analysis to serve a powerful explanatory function. Concrete
governance framework
steps for building for a green
a governance and smart
framework forport can and
a green be shown in Figure
smart port can be2.shown in Figure 2.

Figure 2.
Figure 2. Steps to build
build aa governance
governanceframework
frameworkfor
fora agreen
greenand
andsmart
smartport.
port.

First,find
First, findout
outthe
the critical
critical factors that
that influence
influencesystematic
systematicproblems.
problems. WeWe use SnSn
use to to
stand
standforfor
thethe
n-thfactor
n-th factor that
that influences
influences systematic
systematic problems
problems and and determine
determine the direct
the direct (adjacent)
(adjacent) influences
influences between
between
factors, andfactors,
use X,and useand
V, A, X, V,
O A, and O to represent
to represent different different
influenceinfluence relationships.
relationships.
X indicates
 that the factors in the row and the column influence each other,
 X indicates that the factors in the row and the column influence each other,
V indicates that the factors in the row influences the factor in the column,


 V indicates that the factors in the row influences the factor in the column,
A indicates
 A that thethat
indicates factors in the column
the factors influences
in the column the factor
influences infactor
the the row,
in the row,


O indicates
 that thethat
O indicates factors in the row
the factors androw
in the column do not influence
and column each other.
do not influence each other.
J. Mar. Sci. Eng. 2019, 7, 83 6 of 17

Second, establish an adjacency matrix, A, to reflect the relationships among various elements.
Element aij in A can be converted using the above influence relationship. The conversion method is
as follows. 

 aij corresponds to X, then aij = aji = 1,

 a corresponds to V, then a = 1, a = 0,

ij ij ji
 aij corresponds to A, then aij = 0, aji = 1,


 a corresponds to O, then a = a = 0.

ij ij ji

Third, establish a reachability matrix. Reachability matrix refers to the degree to which each node
in a directed graph described with a matrix can reach via a pathway of a certain length. The specific
calculation method: according to the Boolean calculation rules, we suppose A1 = A + I. If A1 6= A2 6=
. . . 6= Ar−1 = Ar (r 6= n − 1, and n is the order of a matrix) and An = (A + I)n , so the reachability matrix
R = Ar−1 = (A + I) r−1 .
Fourth, rank the factors. We can apply the reachability matrix R to work out the following set of
elements Si , P (Si ) = {Sj |mij = 1}, Q (Si ) = {Sj |mji = 1}, P(Si ) ∩ Q(Si ) = T(Si ). Specifically, P(Si ) is called a
reachable set, that is, the set of all the elements that can be reached from Element Si . Q(Si ) is called the
leading set, that is, the set of all elements that can reach Si in the reachability matrix. T(Si ) is known as
the collective set, the intersection of the reachable set, and the leading set. Through calculation, when
the numbers of factors contained in the reachable set P(Si ) and the collective set T(Si ) are the same, the
uppermost level of unit is obtained. Then we can delete the rows and columns where elements in the
collective set are located from the original reachability matrix R to find the next level of unit. Continue
the ranking and finally we can distribute factors into a hierarchical structure.
Fifth, draw the Interpretative Structural Modeling map. According to the results, we use the
nodes at each level as factors on the same hierarchical structure level and use the same box for the
same level.

5. Test Results and Discussion

5.1. Test Results

We then apply the ISM to the 20 critical factors in Table 2 affecting the development of a green
and smart port. First, following the procedure described in the first step, we use X, V, A, and O to
represent different influence relationships. The detailed results are shown in Table 3.
J. Mar. Sci. Eng. 2019, 7, 83 7 of 17

Table 2. Description of critical influencing factors.

Dimension Serial No. Critical Influencing Factors Descriptions Source

Port’s capability in saving energy and controlling pollutant
S1 Energy-saving and emission-reducing capability [10–12]
discharges
S2 Pollution treatment capability Responsiveness and degree of a port in treating pollutants [20–22]
Greenness
Whether a port has the capability to utilize resources effectively
S3 Efficient utilization of resources [13–15]
to reduce resource waste
Knowledge and practices of port management personnel and
S4 Environmental protection concept and policy system [22,23]
policy-makers in green concepts
Port’s capability in fully utilizing the limited resources and
S5 Agile production capability [44]
quickly responding to orders

Agility Levels of a port’s comprehensive logistic services and supply

S6 Comprehensive logistic capability [7,8]
chains
Whether a port adopts refined operation modes and has JIT
S7 Refined operation capability [45]
capabilities
Levels of a port’s services that are different from those at other
S8 Port-differentiated service levels [34,46]
ports

Personalization Levels of personalized services provided by the port to

S9 Personalized service levels for customers [32,47]
customers
Port’s response capabilities to multiple emergencies and
S10 Emergency and quick response capabilities [48,49]
adjustability to changes
S11 International port-shipping cooperation Degree and model of international port-shipping cooperation [35,50]
S12 Port-city integration Port-city cooperation [48–50]
Cooperation Cooperation between subsidiary and parent ports
S13 Cooperation between subsidiary and parent ports [37]
(international dry ports, feeder ports and inland port areas)
Intelligence degree of port infrastructure operation and
S14 Intelligent production infrastructure and operation [51,52]
production
S15 Intelligent administration Intelligence degree of port administration [53]
S16 Intelligent facility security Intelligence degree of port facility security [54,55]
Intelligence
Port’s technical innovation R&D capability and degree of
S17 Innovative R&D and technology application [55]
application
S18 Liberalization of trade and economic policies Port’s liberalization degree in domestic and foreign trade [56]
Port’s coordination with the Customs and quarantine
Liberalization S19 Facilitation of logistics and customs clearance [8,57]
departments and degree of cargo transportation facilitation
S20 Openness of investment and financing Openness of a port in market investment and financing [58,59]
J. Mar. Sci. Eng. 2019, 7, 83 8 of 17

Table 3. Mutual influences of various factors.

Influencing
S1 S2 S3 S4 S5 S6 S7 S8 S9 S10 S11 S12 S13 S14 S15 S16 S17 S18 S19 S20
Factors
S1 O A A O O O V V O A A A A A O A O O O
S2 O A O O O V V A A A A A A O A O O O
S3 A O O A O O O A A A A A O A O O O
S4 O O O O O O A A A V V V X O O O
S5 O O V V V A A A X O O A O O O
S6 O V V V A A A A A O A A O O
S7 V V O A A A A A O A O O O
S8 O A A A A A A A A A A A
S9 A A A A A A A A A A A
S10 A A A O A O O O O O
S11 X X V V V V X V X
S12 X V V V V V V X
S13 V V V V V V X
S14 O O A O O O
S15 V A O O O
S16 A O O O
S17 O O O
S18 V V
S19 O
S20

Then we build the adjacency matrix based on the second step, as shown in Table 4.

Table 4. Adjacency matrix A.

Influencing
S1 S2 S3 S4 S5 S6 S7 S8 S9 S10 S11 S12 S13 S14 S15 S16 S17 S18 S19 S20
Factors
S1 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S2 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S3 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
S4 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 0
S5 0 0 0 0 0 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0
S6 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0
S7 0 0 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S8 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
S9 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
S10 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S11 1 1 1 0 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1
S12 1 1 1 0 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1 1
S13 1 1 1 0 1 1 1 1 1 1 1 1 0 1 1 1 1 1 1 1
S14 1 1 1 0 1 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0
S15 1 1 1 0 0 1 1 1 1 1 0 0 0 0 0 1 0 0 0 0
S16 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S17 1 1 1 1 1 1 1 1 1 0 0 0 0 1 1 1 0 0 0 0
S18 0 0 0 0 0 1 0 1 1 0 1 0 0 0 0 0 0 0 1 1
S19 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S20 0 0 0 0 0 0 0 1 1 0 1 1 1 0 0 0 0 0 0 0

According to Boolean calculation rules, we can work out A2 , A3 , . . . , An and, finally, that A3 = A4 .
So the reachability matrix is R = A3 = (A + I)3 , as shown in Table 5.
J. Mar. Sci. Eng. 2019, 7, 83 9 of 17

Table 5. Reachability matrix R.

Influencing
S1 S2 S3 S4 S5 S6 S7 S8 S9 S10 S11 S12 S13 S14 S15 S16 S17 S18 S19 S20
Factors
S1 1 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S2 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S3 1 0 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0
S4 1 1 1 1 1 1 1 1 1 1 0 0 0 1 1 1 1 0 0 0
S5 1 1 1 0 1 1 1 1 1 1 0 0 0 1 0 0 0 0 0 0
S6 0 1 0 0 0 1 0 1 1 1 0 0 0 0 0 0 0 0 0 0
S7 1 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0
S8 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0
S9 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0
S10 0 1 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0
S11 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
S12 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
S13 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
S14 1 1 1 0 1 1 1 1 1 1 0 0 0 1 0 0 0 0 0 0
S15 1 1 1 0 0 1 1 1 1 1 0 0 0 0 1 1 0 0 0 0
S16 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 1 0 0 0 0
S17 1 1 1 1 1 1 1 1 1 1 0 0 0 1 1 1 1 0 0 0
S18 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
S19 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 1 0
S20 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

The calculation results are shown in Tables 6–12.

Table 6. First level of reachability set, leading set, and their intersection.

P(Si ) Q(Si ) T(Si )

S1 1,8,9 1,3,4,5,7,11–15,17,18,20 1
S2 2,8,9 2,4,5,6,10–15,17,18,20 2
S3 1,3,8,9 3,4,5,7,11–15,17,18,20 3
S4 1–10,14–17 4,11,12,13,17,18,20 4,17
S5 1,2,3,5–10,14 4,5,11,12,13,14,17,18,20 5,14
S6 2,6,8,9,10 4,5,6,11–15,17,18,20 6
S7 1,3,7,8,9 4,5,7,11–15,17,18,20 7
S8 8 1–8,10–20 8
S9 9 1–7,9–20 9
S10 2,8,9,10 4,5,6,10–15,17,18,20 10
S11 1–20 11,12,13,18,20 11,12,13,18,20
S12 1–20 11,12,13,18,20 11,12,13,18,20
S13 1–20 11,12,13,18,20 11,12,13,18,20
S14 1,2,3,5–10,14 4,5,11,12,13,14,17,18,20 5,14
S15 1,2,3,6–10,15,16 4,11,12,13,15,17,18,20 15
S16 8,9,16 4,11,12,13,15–18,20 16
S17 1–10,14–17 4,11,12,13,17,18,20 4,17
S18 1–20 11,12,13,18,20 11,12,13,18,20
S19 8,9,19 11,12,13,18,19,20 19
S20 1–20 11,12,13,18,20 11,12,13,18,20

From Table 6, we can work out that the first-level nodes are S8 and S9 .
J. Mar. Sci. Eng. 2019, 7, 83 10 of 17

Table 7. Second level of reachability set, leading set, and their intersection.

P(Si ) Q(Si ) T(Si )

S1 1 1,3,4,5,7,11–15,17,18,20 1
S2 2 2,4,5,6,10–15,17,18,20 2
S3 1,3 3,4,5,7,11–15,17,18,20 3
S4 1–7,10,14–17 4,11,12,13,17,18,20 4,17
S5 1,2,3,5,6,7,10,14 4,5,11,12,13,14,17,18,20 5,14
S6 2,6,10 4,5,6,11–15,17,18,20 6
S7 1,3,7 4,5,7,11–15,17,18,20 7
S10 2,10 4,5,6,10–15,17,18,20 10
S11 1–7,10–20 11,12,13,18,20 11,12,13,18,20
S12 1–7,10–20 11,12,13,18,20 11,12,13,18,20
S13 1–7,10–20 11,12,13,18,20 11,12,13,18,20
S14 1,2,3,5,6,7,10,14 4,5,11,12,13,14,17,18,20 5,14
S15 1,2,3,6,7,10,15,16 4,11,12,13,15,17,18,20 15
S16 16 4,11,12,13,15–18,20 16
S17 1–7,10,14–17 4,11,12,13,17,18,20 4,17
S18 1–7,10–20 11,12,13,18,20 11,12,13,18,20
S19 19 11,12,13,18,19,20 19
S20 1–7,10–20 11,12,13,18,20 11,12,13,18,20

From Table 7, we can work out that the second-level nodes are S1 , S2 , S16 , and S19 .

Table 8. Third level of reachability set, leading set, and their intersection.

P(Si ) Q(Si ) T(Si )

S3 3 3,4,5,7,11–15,17,18,20 3
S4 3–7,10,14,15,17 4,11,12,13,17,18,20 4,17
S5 3,5,6,7,10,14 4,5,11,12,13,14,17,18,20 5,14
S6 6,10 4,5,6,11–15,17,18,20 6
S7 3,7 4,5,7,11–15,17,18,20 7
S10 10 4,5,6,10–15,17,18,20 10
S11 3–7,10–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S12 3–7,10–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S13 3–7,10–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S14 3,5,6,7,10,14 4,5,11,12,13,14,17,18,20 5,14
S15 3,6,7,10,15 4,11,12,13,15,17,18,20 15
S17 3–7,10,14,15,17 4,11,12,13,17,18,20 4,17
S18 3–7,10–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S20 3–7,10–15,17,18,20 11,12,13,18,20 11,12,13,18,20

From Table 8, we can work out that the third-level nodes are S3 and S10 .

Table 9. Fourth level of reachability set, leading set, and their intersection.

P(Si ) Q(Si ) T(Si )

S4 4–7,14,15,17 4,11,12,13,17,18,20 4,17
S5 5,6,7,14 4,5,11,12,13,14,17,18,20 5,14
S6 6 4,5,6,11–15,17,18,20 6
S7 7 4,5,7,11–15,17,18,20 7
S11 4–7,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S12 4–7,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S13 4–7,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S14 5,6,7,14 4,5,11,12,13,14,17,18,20 5,14
S15 6,7,15 4,11,12,13,15,17,18,20 15
S17 4–7,14,15,17 4,11,12,13,17,18,20 4,17
S18 4–7,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S20 4–7,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
J. Mar. Sci. Eng. 2019, 7, 83 11 of 17

From Table 9, we can work out that the fourth-level nodes are S6 and S7 .

Table 10. Fifth level of reachability set, leading set, and their intersection.

P(Si ) Q(Si ) T(Si )

S4 4,5,14,15,17 4,11,12,13,17,18,20 4,17
S5 5,14 4,5,11,12,13,14,17,18,20 5,14
S11 4,5,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S12 4,5,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S13 4,5,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S14 5,14 4,5,11,12,13,14,17,18,20 5,14
S15 15 4,11,12,13,15,17,18,20 15
S17 4,5,14,15,17 4,11,12,13,17,18,20 4,17
S18 4,5,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20
S20 4,5,11–15,17,18,20 11,12,13,18,20 11,12,13,18,20

From Table 10, we can work out that the fifth-level nodes are S5 , S14 , and S15 .

Table 11. Sixth level of reachability set, leading set, and their intersection.

P(Si ) Q(Si ) T(Si )

S4 4,17 4,11,12,13,17,18,20 4,17
S11 4,11–13,17,18,20 11,12,13,18,20 11,12,13,18,20
S12 4,11–13,17,18,20 11,12,13,18,20 11,12,13,18,20
S13 4,11–13,17,18,20 11,12,13,18,20 11,12,13,18,20
S17 4,17 4,11,12,13,17,18,20 4,17
S18 4,11–13,17,18,20 11,12,13,18,20 11,12,13,18,20
S20 4,11–13,17,18,20 11,12,13,18,20 11,12,13,18,20

From Table 11, we can work out that the sixth-level nodes are S4 and S17 .

Table 12. Seventh level of reachability set, leading set, and their intersection.

P(Si ) Q(Si ) T(Si )

S11 11,12,13,18,20 11,12,13,18,20 11,12,13,18,20
S12 11,12,13,18,20 11,12,13,18,20 11,12,13,18,20
S13 11,12,13,18,20 11,12,13,18,20 11,12,13,18,20
S18 11,12,13,18,20 11,12,13,18,20 11,12,13,18,20
S20 11,12,13,18,20 11,12,13,18,20 11,12,13,18,20

From Table 12, we can work out that the seventh-level nodes are S11 , S12 , S13 , S18 , and S20 .
Finally, we can draw the ISM map according to the fifth step, as shown in Figure 3.

5.2. Discussions and Suggestions for Constructing Green and Smart Ports
With the established ISM map, we divided the 20 critical factors influencing the development
of the green and smart ports into seven levels in bottom-to-top order. The seven levels are further
divided into four hierarchies. The first hierarchy is the strategic objective hierarchy, including the first
level. The second hierarchy is the technical capability hierarchy, including the second and third levels.
The third hierarchy is the production and operation hierarchy, including the fourth and fifth levels.
The fourth hierarchy is the policy support and technical innovation hierarchy, including the sixth and
seventh levels. The relationships between the four hierarchies are discussed as follows.
 S13 11,12,13,18,20 11,12,13,18,20 11,12,13,18,20
S18 11,12,13,18,20 11,12,13,18,20 11,12,13,18,20
S20 11,12,13,18,20 11,12,13,18,20 11,12,13,18,20

From
J. Mar. Sci. Eng.Table
2019, 7,12,
83 we
can work out that the seventh-level nodes are S11, S12, S13, S18, and S20. 12 of 17
Finally, we can draw the ISM map according to the fifth step, as shown in Figure 3.

Figure3.3.Governance
Figure Governanceframework
frameworkofofcritical
criticalinfluencing
influencingfactors
factorsfor
forgreen
greenand
andsmart
smartports.
ports.

5.2.1. Analysis of the Relationship between Factors at the First and the Second Hierarchies
The first hierarchy contains port-differentiated service levels, S8 , and personalized service levels
for customers, S9 , both of which fall into two distinct aspects of personalization. The port-differentiated
service level stands for the capability of port services that are different from those at other ports,
while personalized service levels for customers refer to the capability of providing services targeting
different customers, both of which are at the core competitiveness of ports. The second hierarchy
contains energy-saving and emission-reducing capability S1 , pollution treatment capability S2 , efficient
utilization of resources S3 , emergency and quick response capabilities S10 , intelligent facility security
S16 , and logistics clearance ability S19 . The first three are greenness factors and their implementation
helps achieve the greenness goals of ports. Although the emergency and quick response ability of
personalization S10 is not at the first level, it is still an inevitable requirement for port development.
The second hierarchy directly affects the fulfillment of the first hierarchy. In the second hierarchy,
emergency and quick response capabilities S10 and efficient utilization of resources S3 at the third level,
respectively, affect the emission treatment capability S2 and the energy-saving and emission-reducing
capability S1 . The stronger the response capability to environmental accidents, the quicker and more
proper the pollution control. Meanwhile, efficient utilization of resources can also boost energy
conservation and emission reduction to a large extent.
J. Mar. Sci. Eng. 2019, 7, 83 13 of 17

5.2.2. Analysis of the Relationship between Factors at the Second and the Third Hierarchies
Agile production capability S5 , comprehensive logistic capability S6 , and refined operation
capability S7 belong to the agility category. They jointly serve as the basic means of port operations.
Intelligent port production infrastructure, operation S14 , and intelligent administration S15 belong to
the intelligence category. They provide hardware and technical support for port development. In this
sense, the third hierarchy constitutes a basic approach to realize the second hierarchy. Specifically,
intelligent port production infrastructure and operation S14 can effectively promote the roles of agile
production capability S5 , comprehensive logistic capability S6 , and refined operation capability S7 ,
while intelligent administration is also an effective guarantee of exerting agile capabilities.

5.2.3. Analysis of the Relationship between Factors at the Third and the Fourth Hierarchies
Level 6 factors in the fourth hierarchy include the environmental protection concept and policy
system S4 and the innovative R&D and technology application S17 , both of which are core ideas of
green and smart port development and are required for ports to develop core competitiveness. The two
influence each other. The popularization of green ideas and implementation of relevant policies will
promote R&D and the application of new concepts and technologies, while innovative ideas will, in
turn, promote the greening progress. The international port-shipping cooperation S11 , the port-city
integration S12 , and cooperation between subsidiary and parent ports S13 at the seventh level belong
to the cooperation category. The three promote each other and represent an inevitable trend of port
development. The liberalization of trade and economic policies S18 and the openness of investment
and financing S20 fall into the liberalization category. Liberalized policies can open up investment
and financing markets and promote international cooperation. The fourth hierarchy is related to
ideological, strategic, and policy elements. As the third hierarchy evolves, it will inevitably require the
support of ideas, underlying strategies and the soft environment of policies. They are also deep-seated
factors that affect port development.

5.2.4. Suggestions on the Development of Green and Smart Ports

Based on the analysis, the paper puts forward countermeasures and suggestions in three aspects:
port operation strategies, technical means, and approaches of implementation. First of all, in terms of
business strategy, this paper proposes to enhance international port-shipping and port-port cooperation,
vigorously promotes the new development mode of subsidiary and parent port consortia, and nurtures
the relevant talents. The paper advises the vigorous publicizing and promoting of green philosophy to
elevate greening to a new height and enhance social responsibility. It also suggests that competent
authorities should actively formulate relevant policies to guide the greening process and attach
importance to innovative R&D and technological application. At the same time, dedicated innovative
R&D departments should be set up through cooperation and, drawing on advanced experience from
peers to boost mutual promotion between technological application and innovative R&D, expand
the liberalization of economic and trade policies and open up investment and financing markets to
promote market liberalization and international development. Second, in terms of technical means,
we should put more stress on port Internet of Things (IoT) and set up relevant departments to study
this technology. It is advisable to start with pilot projects such as large ports and inland dry ports and
focus on solving key technical barriers involved in port IoT construction to achieve gradual promotion
of best practices and the improvement of management patterns so that the traditional management
mode can transform toward a modern and intelligent one. Meanwhile, it is also imperative to
cultivate learning-oriented and innovative talents with compound skills and organically combine the
information technology with management means to facilitate the fulfillment of the information goal.
We should learn from large ports in the world to update certain port infrastructures and improve
port production operations, logistics, and other basic capabilities. Third, in terms of approaches of
implementation, we should place emphasis on environmental protection and sustainable development
J. Mar. Sci. Eng. 2019, 7, 83 14 of 17

and increase greening investment such as energy conservation and emission reduction, pollution
treatment and the efficient utilization of resources to gradually elevate our greening capabilities.
Management personnel should pay close attention to changes in the environment and market and
formulate detailed plans and objectives, as well as follow-up measures to build up capabilities in quick
and emergency responses. Intelligent security systems should be introduced and infrastructure should
be regularly maintained to increase operational efficiency. Moreover, competent authorities should
actively communicate and coordinate with customs, as well as commodity inspection, animal and
plant quarantine, and health quarantine departments to optimize policies and facilitate logistics and
customs clearance.

6. Conclusions
Development of a green and smart port represents an inevitable trend for future ports. Mutually
integrated development of the two contributes to enhancing port competitiveness as well as to
accommodating issues of sustainability in tandem with artificial intelligence, and big data environment.
Therefore, it is worthwhile to study and analyze the critical factors driving the development of a green
and smart port. The contribution of this study is threefold. First, it creates an initiative for the
governance framework of a green and smart port. Second, it provides a practical tool for the factor
analysis of a green and smart port. Third, the achievements of this study can provide a decision-making
basis and information reference for international organizations, relevant governments or policy-makers
to formulate reasonable and effective governance strategies for green and smart port development.
Based on the analysis of the related concepts of green and smart ports, this paper reviewed relevant
literature and experts’ suggestions to extract the factors influencing the development of green and
smart ports and set up a reasonable governance framework for green and smart ports using the ISM,
in an attempt to make suggestions on building green and smart ports from port operation strategies,
technical means, and approaches of implementation of three aspects. First of all, in terms of operational
strategy, we should attach greater importance to cooperation and development, strengthen cooperation
between ports and shipping departments, and jointly promote the concept of green and smart port
development. Secondly, in terms of technical means, we should accelerate the application of high-tech,
new technology, focus on solving the key core technical problems involved in the development of green
and smart ports, and combine intelligent technology innovation with port operation management to
realize the intelligentization and green environmental protection of port production and development.
Third, in terms of ways of realization, the concept of sustainable development should be strengthened.
We should formulate detailed green and smart port planning targets and specific operational plan
measures to improve the capability of rapid response and emergency, optimize port logistics policy, and
improve the convenience of port logistics operation. Further research into the development of green
and smart ports is in the planning stage to explore in-depth the content and theories regarding ports,
expand the research scope, improve the rationality of the indicator system, and rectify deficiencies in
order to summarize more accurate and effective suggestions on green and smart port construction.

Author Contributions: J.C. and X.X. conceived the research idea and cowrote the paper. T.H. and P.T.-W.L.
established the mathematical models and revised the paper. C.H. and P.T.-W.L. carried out the result analysis and
draw conclusion.
Funding: This paper was supported by the National Natural Science Foundation of China (Grant Nos. 51879156
and 51409157), the Shanghai Pujiang Program (17PJC053), and the Program of Humanities and Social Science of
the Ministry of Education of China (14YJC630008).
Conflicts of Interest: The authors declare no conflicts of interest.

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