Operational and Business Continuity Planning for Prolonged Airport Disruptions (2013)

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A I R P O R T C O O P E R A T I V E R E S E A R C H P R O G R A M ACRP REPORT 93 TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2013 www.TRB.org Research sponsored by the Federal Aviation Administration Subscriber Categories Aviation • Operations and Traffic Management • Security and Emergencies Operational and Business Continuity Planning for Prolonged Airport Disruptions Scott Corzine Risk solutions inteRnational llC New York, NY

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in trans­ portation of people and goods and in regional, national, and inter­ national commerce. They are where the nation’s aviation system connects with other modes of transportation and where federal respon­ sibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Coopera­ tive Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near­term solutions to meet demands placed on it. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon­ sored by the Federal Aviation Administration (FAA). The ACRP carries out applied research on problems that are shared by airport operating agencies and are not being adequately addressed by existing federal research programs. It is modeled after the successful National Coopera­ tive Highway Research Program and Transit Cooperative Research Pro­ gram. The ACRP undertakes research and other technical activities in a variety of airport subject areas, including design, construction, mainte­ nance, operations, safety, security, policy, planning, human resources, and administration. The ACRP provides a forum where airport opera­ tors can cooperatively address common operational problems. The ACRP was authorized in December 2003 as part of the Vision 100­Century of Aviation Reauthorization Act. The primary participants in the ACRP are (1) an independent governing board, the ACRP Oversight Committee (AOC), appointed by the Secretary of the U.S. Department of Transportation with representation from airport operating agencies, other stakeholders, and relevant industry organizations such as the Airports Council International­North America (ACI­NA), the American Associa­ tion of Airport Executives (AAAE), the National Association of State Aviation Officials (NASAO), Airlines for America (A4A), and the Airport Consultants Council (ACC) as vital links to the airport community; (2) the TRB as program manager and secretariat for the governing board; and (3) the FAA as program sponsor. In October 2005, the FAA executed a contract with the National Academies formally initiating the program. The ACRP benefits from the cooperation and participation of airport professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research orga­ nizations. Each of these participants has different interests and respon­ sibilities, and each is an integral part of this cooperative research effort. Research problem statements for the ACRP are solicited periodically but may be submitted to the TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by iden­ tifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel, appointed by the TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport pro­ fessionals, the intended users of the research products. The panels pre­ pare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooper­ ative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the intended end­users of the research: airport operating agencies, service providers, and suppliers. The ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties, and industry associations may arrange for work­ shops, training aids, field visits, and other activities to ensure that results are implemented by airport­industry practitioners. ACRP REPORT 93 Project 03­18 ISSN 1935­9802 ISBN 978­0­309­28359­5 Library of Congress Control Number 2013951271 © 2013 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not­for­profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB or FAA endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not­for­profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The project that is the subject of this report was a part of the Airport Cooperative Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the Airport Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. Published reports of the AIRPORT COOPERATIVE RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at http://www.national­academies.org/trb/bookstore Printed in the United States of America

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individu- als interested in the development of transportation. www.TRB.org www.national-academies.org

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS This guidebook and accompanying software tool were developed under ACRP Project 03­18 by Risk Solutions International LLC. Scott Corzine, Senior Vice President at Risk Solutions International, was the Project Director and Prin­ cipal Investigator. Michael Corby, CBCP, CISSP, CCP, PMP; Richard Lowery, MBCP; John McWilliams, CBCP; and Kevin Turner, CBCP, provided subject matter expertise in business continuity management. David Posner, Charles Seliga, Kenneth Honig, Kevin McCarthy, David Lubore, Bob Karl, and Gregory Phillips provided subject matter expertise in airport operations. Nathaniel Polish, Ph.D., provided technical project oversight. Kenneth Amron led the design, archi­ tecture, and coding effort for the software tool. Amanda Grenon integrated the content components of the software tool. AUTHOR DISCLAIMER The authors make no representation or warranty as to the accuracy, applicability, appropriateness, or sufficiency of the plans and procedures described in this guidebook or generated by the accompanying business continuity planning software tool. The authors make no representation or warranty about the capacity of the plan that the tool generates, if followed, to avert or diminish the effect(s) or impact of any disruptions experienced by any user of the plan, or to imply that recovery from any disruption will be effective, appropriate or successful—since positive outcomes depend upon material and information input into the tool by the users and on their future actions—to which the authors are not privy. Users of this guidebook and any plan that is developed using the accompanying software tool agree to hold harm­ less the authors and their staffs, officers, contributing consultants, and Boards of Managers from and against any and all claims, disputes, actions and/or damages made or asserted by any party, as a result of any use of the information contained herein or the plan(s) generated by the tool. CRP STAFF FOR ACRP REPORT 93 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Michael R. Salamone, ACRP Manager Theresia H. Schatz, Senior Program Officer Terri Baker, Senior Program Assistant Eileen P. Delaney, Director of Publications Ellen M. Chafee, Editor ACRP PROJECT 03-18 PANEL Field of Policy and Planning John DeCoster, Trillion Aviation LLC, Austin, TX (Chair) Pamela E. Bell, Ross & Baruzzini, Inc., Bellevue, WA Scott C. Carr, Portland International Jetport, Portland, ME David Korzep, Salt Lake City Department of Airports, Farmington, UT Paul Meyers, Aviation Management Consulting Group, Inc., Centennial, CO Lisa Anderson Spencer, United Nations, New York, NY Donald W. Harper, FAA Liaison Laura Valero, FAA Liaison Lydia T. Beairsto, Airports Council International - North America Liaison

F O R E W O R D By Theresia H. Schatz Staff Officer Transportation Research Board ACRP Report 93: Operational and Business Continuity Planning for Prolonged Airport Dis- ruptions provides a guidebook and software tool for airport operators to assist, plan, and prepare for disruptive and catastrophic events that have the potential for causing prolonged airport closure resulting in adverse impacts to the airport and to the local, regional, and national economy. This guidebook and the accompanying software tool include concise guidelines to provide operators of all sizes and types of airports with a resource to assess, plan, and prepare for a recovery that includes infrastructure, managerial, business, and operational sustainability and continuity. This resource identifies industry practices and develops a critical path framework to identify immediate and long­term needs and establish recovery priorities in the preparation for catastrophic events. Airports are an integral part of the transportation system and have a major impact on the global economy. Prolonged airport disruptions resulting in the loss of critical manage­ rial, operational, and business functions can hamper and degrade service in all segments of the aviation market including commercial air carriers, general aviation, military, and other tenants that use the facility. Airport operators are experts at emergency response. Most inci­ dents experienced by airports last less than a day; however, if an airport were to experience a catastrophic event lasting several days or weeks, the impact on the airport, local, regional, and national economy would be great. In a prolonged disruption, lasting several weeks to possibly months, managerial, operational, and business changes would be necessary. While many airports have airport emergency plans, additional information is needed to develop managerial, operational, and business continuity plans. The ACRP Project 03­18 research team developed a guidebook and tool to assist airport operators in planning consistently and effectively for continuity during a prolonged disruption. This guidebook and tool com­ plement rather than duplicate or replace an airport emergency plan. This research was conducted under ACRP Project 03­18 by Risk Solutions International LLC. As part of the research, the firm surveyed approximately 40 representative airports as well as industry trade groups and associations and federal agencies to identify issues, prob­ lems, resources, and funding for facilitating operational and business continuity planning. A separate contractor’s final report, which provides background on the research con­ ducted in support of the guidebook, has been posted on the ACRP Project 03­18 web page that can be found by searching the TRB website (www.trb.org) for ACRP Report 93.

C O N T E N T S P A R T 1 Business Continuity Planning at Airports 3 Overview of Business Continuity Planning at Airports 3 Definition of Business Continuity Planning 3 What Business Continuity Planning Is Not 5 Business Continuity Planning—A Strategic Priority for Airports 6 Why Business Continuity Planning Has Been Poorly Embraced—Findings from the Research 7 Challenges to Developing Airport Business Continuity Plans 9 Overcoming Challenges and Inertia in Business Continuity Planning 10 Preliminary Steps in Business Continuity Planning 10 Creating a Risk Profile 10 Developing the Scope of the Plan 11 Identifying the Stakeholders 12 Forming a Business Continuity Planning Leadership Team 12 Assembling the Right Expertise 13 The Business Continuity Planning Process 13 Project Management 13 Establishing Planning Objectives and Assumptions 14 Assessing the Organization—The Business Impact Analysis 19 Gap Analysis and Strategy Development 25 Documenting the Business Continuity Plan 27 Plan Testing, Exercises, and Maintenance 30 What the Business Continuity Plan Should Look Like 30 Cover Page 30 Introduction 30 Concept of Operations 31 Functional Recovery Plans 31 Devolution 31 Reconstitution 32 Plan Testing, Training, and Exercises 32 Plan Review and Maintenance 32 Business Continuity Plan Appendices 32 Using the Resulting Business Continuity Plan

P A R T 2 Using the Airport Business Continuity Planning Software Tool 35 Introduction to the Software Tool 35 How the Software Tool Approximates the Business Continuity Plan Process 35 Approximating Recovery Priority 36 Basic Business Continuity Plan—Only the First Step 36 Ease of Use 37 Organization and Intended Use 37 Organization 39 Intended Use 42 Features and Functionality 42 Tool Installation and Features 42 Critical Software Icons 43 Functionality 45 How the Tool Works 45 Question Formats 47 Getting Additional Information 48 Navigation 56 Explanation of Basic Question Types 56 Determining Functional Recovery Priority 57 Introductory Questions 63 Common Questions 98 Questionnaire Sections in Detail 98 Co­Located Military Units 99 Aircraft Rescue and Firefighting (ARFF) 100 Back­Up Power Sources 101 Commercial and Aviation Lessees 102 Environmental Operations 103 Finance and Accounting 103 Fixed Base Operators 104 General Aviation 104 Government Security and Controls 106 Government Relations 106 Grants and Projects 106 Human Resources 107 Infrastructure and Utilities 107 Legal and Contracts 108 Other Property Management 109 Passenger Management 109 Payroll and Benefits 110 Public Parking Operations 110 PR and Marketing Communications 110 Public Safety 111 Retail Concessions 112 Winter Operations 113 On­Site Fuel Supply

113 Aeronautical Operations Support 114 Ramp and Hangar Operations 116 Airport Maintenance and Repair 116 Purchasing, Receiving, and Supplies 117 Groundside Transportation 117 ATCT Operations and NAVAIDS 118 Shared Infrastructure 119 Cargo Operations 120 Terminal Buildings 120 Information Technology 122 Financial Reporting 123 The Business Continuity Plan Generated by the Tool 123 Business Continuity Plan Contents 123 How to Benefit from the Plan A-1 Appendix A Business Continuity Standards B-1 Appendix B Glossary C-1 Appendix C Abbreviations and Acronyms D-1 Appendix D Template for Exercises Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the Web at www.trb.org) retains the color versions.