Continuity of Operations Planning for Small Airports (2016)

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103 APPENDIX F Interview Reports for Airports Without Business Continuity Plans/ Continuity of Operations Plans Interview Report 7—Watsonville Municipal Airport (WVI) Interview Guide (For Airports Having No Business Continuity Plans – BCPs) ACRP Synthesis S01-11 Case Example: Watsonville Municipal Airport Date: October 12, 2015 This Case Example is based on an interview with Mr. Rayvon Williams, C.M., C.A.E., airport manager, on October 12, 2015; his responses to the survey; and airport information from FAA reports. Airport Characteristics NPIAS category: General aviation Governance: City department Number of operations (2015): 65,100 annual Number of airport employees: Nine (9) The purpose of this interview is to gather detailed information to be used as a Case Example in support of the above ref- erenced study. Interview responses together with responses given to the previously submitted survey will provide valuable information about your business continuity planning practices and how effective those practices have been in bringing the airport back to normalcy from a broad range of disruptions. 1. How do you manage bringing the airport back to normalcy after a disruption? Depending on the type of disruption WVI has generally two plans of action. As of Oct 2015 the majority of operational disruptions have been minor aircraft specific issues (aircraft flat tire, gear-up landing, “loss-of- control” off runway, ground loop-blocking runway, etc.) or major actions impacting infrastructure (1989 Loma Prieta earthquake, 2008 wildfires). In the case of “minor disruptions” the airport staff has a First response plan of action (attached) followed by coordination with Watsonville Fire or Police. These actions work to bring the airport to normal operations. In the case of a major disruption the Airport would work with the City of Watsonville’s Emergency Operations center. Effectively bringing the airport back to normal operations will ultimately lay with Airport management and Staff. 2. Is there a key person/group involved in bringing the airport back to normalcy? The key group for Watsonville is primarily Airport management and Staff during minor disruptions and a combined effort between the airport manager and Watsonville’s Emergency Operations Center during major disruptions. 3. Has there been a critical incident where bringing airport back to normalcy was a challenge? Would a business continu- ity plan (BCP)/continuity of operations plan (COOP) have helped in this situation? Yes, the 1989 Loma Prieta earthquake. A Continuity of Operations Plan would have helped this situation. 4. Describe the process involved. Airport found its operations impacted due to power loss primarily; no structural damage to buildings or runways. Bringing the airport back “on-line” was a piecemeal effort that was refined over the early days with restoration of

104 power. The larger disruption was of course the quake itself and its impact. Looking back the airport was brought back to operations quickly but was not prepared for the “new level of service” required. 5. What kind of coordination is used? Initial coordination with Watsonville Fire or Police (airport is secure and safe; no life threatening condition); followed by the coordination with Watsonville EOC for power restoration via local utilities. For disruptions impacting the operation of the airport that are non-emergency in nature, WVI will determine recovery priorities depending on the situation sometimes involving off airport support services contacted through utilizing contact telephone lists. 6. What kind of cost is incurred? Not sure; certainly overtime of City employees. 7. How effective have current practices been regarding business continuity without plans and programs? How do you assess the effectiveness? Our view (at City and airport level) is less BCP and more of continuing operations. I can’t speak regarding practices of BCPs. 8. What was the most recent significant airport disruption in the last five years? There has not been a significant (major) disruption in the last five years. During this disruption, what recovery priority determinations were made (perhaps informally)? NA What were the essential, important, convenient, and non-essential functions impacted in this case? NA For each of these impacted airport functions, what was the maximum downtime in this case? NA How were human resources, physical plant and equipment, technology, processes, and other resources impacted in this case? How were they handled? NA 9. Are there any core airport functions that are contracted to commercial tenants or other agencies that may be outside the control of the airport? No. If yes, does the airport utilize any process, lease provision, or operating understanding with these entities that address dealing with recovering from disruptions? Please describe. NA 10. Have there been any other stakeholder coordination practices that have been effective in dealing with airport business disruptions? Not “business disruptions,” but the continuity of operations has been enhanced by partnering with WEACT. The Watsonville Emergency Airlift Command Team (WEACT) is a community based program involving the airport, its tenants, community members, the City of Watsonville and Santa Cruz County. In the event of a large scale community emergency, volunteers mobilize to provide airport, aircraft, and pilot services as needed such as moving people and goods to where they need to go. This was modeled after a similar program developed by the South County Airport Pilots Association (SCAPA) based at nearby San Martin airport. Both programs grew out of lessons learned from the 1989 Loma Prieta earthquake and a desire to unite the community needs with the airport asset. WEACT helps mobilize resources as needed to assist the community as a whole with recovery and continuity while also establishing practices at the airport which may also be impacted by the emergency. This helps to ensure that

105 the airport not only maximizes its recovery role within the community but also maintains appropriate use of airport facilities during a disaster. 11. Are any core airport support functions covered by external or departmental business continuity practices off site? Yes. Please note point of sale transactions (fuel sales, tie down, hangar payments) are conducted at the airport business office; however there are a host of finance functions that are leveraged by city CFO office (ACH payments, payroll, etc.) and there are other functions (legal, HR, Contracts, Risk Management, etc.) that are handled off site at City hall. For example, if the airport is municipally owned, payroll functions may be handled at an off-location finance department. NA 12. How often are current airport business continuity practices, checklists, tools, or processes reviewed or updated? Again, our focus is less on the “business” per se as these functions (the transactions) are the first line of action…the larger business elements are handled off site. Our focus will most likely be continuity of operations. 13. What are the benefits to having some level of business continuity practices? We see the benefits of continuity of operations as key to allowing us to quickly return, whether a minor or major disruption, to our threefold mandate: “Safety, Service and Self-Sustainability.” This allows the airport to increase preparedness, improve recovery and response, decrease downtime, and reduce liability exposure. 14. What advice would you have to a small airport to develop business continuity practices or when contemplating creating a formal BCP? We focus on four elements: 1. Ensure timely and orderly continuous performance of essential functions during and after emergency (Keep the airport operational) 2. Reduce or mitigate disruptions to operations (See 1 above…keep airport open) 3. Protect records and other assets that support essential functions (we still have legacy “paper” that must be preserved) 4. Minimize loss of life and injury to agency personnel. Interview Report 8—Lakeland Linder Regional Airport (LAL) Interview Guide (For Airports Having No Business Continuity Plans – BCPs) ACRP Synthesis S01-11 Case Example: Lakeland Linder Regional Airport Date: October 8, 2015 This Case Example is based on an interview with Mr. Adam Lunn, C.M., ACE, operations coordinator, on October 8, 2015; his responses to the survey; and airport information from FAA reports. Airport Characteristics NPIAS category: Reliever Governance: City department Number of operations (2015): 117,000 annual Number of airport employees: 16

106 The purpose of this interview is to gather detailed information to be used as a Case Example in support of the above ref- erenced study. Interview responses together with responses given to the previously submitted survey will provide valuable information about your business continuity planning practices and how effective those practices have been in bringing the airport back to normalcy from a broad range of disruptions. 1. How do you manage bringing the airport back to normalcy after a disruption? LAL has a current Airport Emergency Plan (AEP) and is NIMS [National Incident Management System] compliant. An Incident Action Plan (IAP) system is utilized to bring critical systems back on line. 2. Is there a key person/group involved in bringing the airport back to normalcy? It is a team effort and critical functions are recovered with coordination between impacted departments— Operations, Maintenance, Administration, Property, and Business Management for all financial and funding concerns. 3. Has there been a critical incident where bringing the airport back to normalcy was a challenge? Would a BCP/COOP have helped in this situation? The 2011 tornado that hit the airport during the large SUN’n FUN Event was particularly challenging due to the scope of the disruption. Tornado flipped 41 aircraft, damaged facilities, required evacuation, and airport closure. Following AEP was effective although some recovery issues may have benefited from a formal BCP. 4. Describe the process involved. Referred back to AEP and Incident Command System (ICS) principless to develop IAP for each time period of the response and recovery actions. After the emergency response, LAL continued to utilize IAP to work recovery issues. Not all AEP hazard specific sections have specified checklists for recovery actions. Many rely on hazard specific Unified Command actions based on Incident Action Plans (IAP) for disruption recovery involving activation of AEP. 5. What kind of coordination is used? Bring department directors together—Operations, Administration, Maintenance, Business, and Property managers. Recovery priorities are identified and coordinated. Off-site coordination for certain off airport functions including city finance and information technology (IT) needs. This requires building relationships with off-site departments. 6. What kind of cost is incurred? Costs depend on the situation and nature of the disruption. Coordination with the airport Business Manager is needed to address potential additional expenses such as personnel overtime or need to purchase equipment. LAL budgets for emergency contingencies. 7. How effective have current practices been regarding business continuity without plans and programs? How do you assess the effectiveness? A combination of activation of AEP, utilization of NIMS principles, and building relationships within the City as well as external organizations such as the FAA has been effective in dealing with airport disruptions to date. 8. What was the most recent significant airport disruption in the last five years? The 2011 Tornado occurring during the SUN’nFUN Event. During this disruption, what recovery priority determinations were made (perhaps informally)? LAL followed the ICS structure to make recovery priority determinations through Incident Action Plans (IAP). Prioritization included rescue, life safety, evacuation, airport closure, damage assessments, and security issues. IAP, departmental coordination, and available mutual aid resources were used to prioritize recovery actions.

107 What were the essential, important, convenient, and non-essential functions impacted in this case? There was a total airport impact. Tornado impacted up to an estimated 150,000 attendees to the event. The event involved airport closure. There were 41 aircraft overturned, building and hangar door damage of varying degrees requiring property damage assessments, event specific facilities including tents and port-a-potties damaged, and loss of participant personal items. The damage to LAL facilities was minimal in terms of airport pavements, terminal facilities, and other buildings. Lots of foreign object debris (FOD) removed for recovery of safe aircraft operating conditions. Security was required to ensure that totaled aircraft were not disturbed during insurance or EPA required assessments. For each of these impacted airport functions, what was the maximum downtime in this case? Airport was opened at 7:00AM next day. Building repairs required to be operable depended on damage assessment for each hangar facility. Limited down time for restoring airport operations, however, event specific recovery was impacted for duration of the event. How were human resources, physical plant and equipment, technology, processes, and other resources impacted in this case? How were they handled? Significant impact on human resources involving overtime, on-call, and airport staff rest periods. Operations staff has grown from 2 employees at time of disruption to now 5 employees. Limited impact on physical plant and equipment, technology impacts were non-applicable. Impacts were felt on daily processes due to the event interruption. 9. Are there any core airport functions that are contracted to commercial tenants or other agencies that may be outside the control of the airport? If yes, does the airport utilize any process, lease provision, or operating understanding with these entities that address dealing with recovering from disruptions? Please describe. Aircraft service and fueling is contracted to Fixed-Base Operator (FBO). The airport works closely with the FBO to make sure that operations are sustainable during possible disruptions. This is more of a partnership and operating understanding than a contractual lease provision. Air Traffic Control is handled through the federal Contract Control Tower program. Services currently provided through Robinson Aviation (RVA). Due to recent federal funding issues and uncertainty with continued tower operations the airport did initiate steps to mitigate potential tower closure with specialized training of airport personnel. 10. Have there been any other stakeholder coordination practices that have been effective in dealing with airport business disruptions? Building relationships with City departments, FBO, Contract Tower (RVA) is important. LAL staff continually coordinates with these entities to optimize communication, knowing the right people, and building awareness of airport operational needs. City is proactive in preparing for emergency disruptions. 11. Are any core airport support functions covered by external or departmental business continuity practices off site? For example, if the airport is municipally owned, payroll functions may be handled at an off-location finance department. City has a city-wide comprehensive emergency plan that is reviewed annually. This plan is coordinated with AEP. Plans are always cross checked providing for other city departments to understand updates to airport facilities or procedures. City finance department, risk department, and technology department have internal continuity practices, however, practices or written plans are not coordinated with the airport specifically outside of being a core function for continued operations for the entire City. 12. How often are current airport business continuity practices, checklists, tools, or processes reviewed or updated? LAL Business Manager routinely interacts with City Risk Manager to review potential issues.

108 13. What are the benefits to having some level of business continuity practices? Important to have AEP. Providing training and utilizing the NIMS/ICS principles is valued. In the event of an airport emergency disruption all employees and responders speak the same language facilitating efficient recovery. This also provides a benefit when handling potential non-emergency disruptions. LAL will coordinate these recovery practices in a similar manner through use of coordinated action plans, etc. It is difficult to formally plan for all types of disruptions, there may be some advantages in certain situations to remain fluid and proceed with recovery actions utilizing well practiced processes. Other disruptions would likely benefit from a formal written BCP. 14. What advice would you have to a small airport to develop business continuity practices or when contemplating creating a formal BCP? Look at internal practices. Assess for weaknesses or need for updates. Airports contemplating development of a BCP would benefit at looking at what other airports are doing with regard to BCP. Critical to build relationships and ensure that off-site city departments or other stakeholders are involved in the planning process. Interview Report 9—Duluth International Airport (DLH) Interview Guide (For Airports Having No Business Continuity Plans – BCPs) ACRP Synthesis S01-11 Case Example: Duluth International Airport (DLH) Date: October 6, 2015 This Case Example is based on an interview with Mr. Tom Werner, executive director, on October 6, 2015; his responses to the survey; and airport information from FAA reports. Airport Characteristics NPIAS category: Non-hub–primary Governance: Airport authority Number of operations (2014): 55,115 annual Number of airport employees: 16 The purpose of this interview is to gather detailed information to be used as a Case Example in support of the above ref- erenced study. Interview responses together with responses given to the previously submitted survey will provide valuable information about your business continuity planning practices and how effective those practices have been in bringing the airport back to normalcy from a broad range of disruptions. 1. How do you manage bringing the airport back to normalcy after a disruption? The Duluth Airport Authority (DAA) shared the disruption of freezing rain events around the busy travel time of Christmas. This disrupts flights (cancelations/delays) and traveler’s schedules. The DAA staff assumes control of the situation and manages resources to correct as soon as possible. 2. Is there a key person/group involved in bringing the airport back to normalcy? The DAA Operations Director, Airside Manager and Airfield Foreman are the key persons. The Airline Station Manager, Fixed Base Operator and Air Traffic Control Tower (ATC) may be included as a group for coordination efforts.

109 3. Has there been a critical incident where bringing the airport back to normalcy was a challenge? The ice event may disrupt the airport operations up to a couple of hours. Would a BCP/COOP have helped in this situation? It may but the DAA relies on its current Snow and Ice Control Plan and the Irregular Operations Plan (IROPS). 4. Describe the process involved. When the DAA experienced heavy ice on the airfield, their Snow and Ice Control Plan was followed. They begin by notifying the appropriate tenants and communicate with DLH ATC and issue the appropriate Notice to Airmen (NOTAM). The next step required them to address the ice. They switch normally used plow blades to a serrated blade to cut grooves into the ice in an attempt to soften or possibly break up. Sand is also applied in conjunction with an FAA approved dry chemical Cryotech NAAC®. The process is repeated until the ice breaks and is safely removed. During this process, the airline passengers are kept informed of schedule changes. 5. What kind of coordination is used? DAA staff communicates with DLH ATC, airline dispatch, airline local station manager. 6. What kind of cost is incurred? There are little direct coordination costs involved with this disruption. Direct costs relate to the snow/ice removal equipment: diesel, manpower, sand/NAAC. 7. How effective have current practices been regarding business continuity without plans and programs? For the most good. But they do rely on current FAA plans such as the snow and ice control plan and IROPS. How do you assess the effectiveness? Number of cancelations and significant delays measured, number of flight operations lost, and possibly the number of passengers re-routed to other airports. 8. What was the most recent significant airport disruption in the last five years? Airshows and VIP visits limiting certain airfield operations to the public. During this disruption, what recovery priority determinations were made (perhaps informally)? During these times, there is not much in recovery planning since they are scheduled events and will end at a pre- determined time. What were the essential, important, convenient, and non-essential functions impacted in this case? The Airshow or VIP event is determined to be the most essential with scheduled airline service adjusted/ accommodated to ensure little to no disruption of service. Non-essential functions would probably be general aviation operations unable to operate during these times. However, these events are generally scheduled in advance and coordinated through the NOTAM system. For each of these impacted airport functions, what was the maximum downtime in this case? VIP visits vary but generally a few hours. Airshows will affect a full weekend. How were human resources, physical plant and equipment, technology, processes, and other resources impacted in this case? How were they handled? Airshows and VIP visits require additional manpower to meet the event schedules. The airfield operations will be limited and landside issues such as spectator and parking facilities will be modified or created.

110 9. Are there any core airport functions that are contracted to commercial tenants or other agencies that may be outside the control of the airport? If yes, does the airport utilize any process, lease provision, or operating understanding with these entities that address dealing with recovering from disruptions? Yes. The DAA has an agreement with the 148th Air National Guard unit to provide emergency response services on the airfield. There is a use agreement between the DAA and the 148th to provide those services for the airport. 10. Have there been any other stakeholder coordination practices that have been effective in dealing with airport business disruptions? The DAA coordinates on a routine basis with affected airport tenants. Coordination meetings will be scheduled as necessary. 11. Are any core airport support functions covered by external or departmental business continuity practices off site? For example, if the airport is municipally owned, payroll functions may be handled at an off-location finance department. The City of Duluth provides payroll services. 12. How often are current airport business continuity practices, checklists, tools, or processes reviewed or updated? Current plans are generally reviewed annually. 13. What are the benefits to having some level of business continuity practices? Contingency planning assists staff with efficiency in demanding times. It provides guidance to determine the types and quantities of resources that may be needed. 14. What advice would you have to a small airport to develop business continuity practices or when contemplating creating a formal BCP? Reach out to larger airports or agencies that may have them in place and curtail the plan to meet the smaller airport’s operations.