Guidance for Planning, Design, and Operations of Airport Communications Centers (2018)

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128 Guidance for Planning, Design, and Operations of Airport Communications Centers Securing the technology used in the ACC is of critical importance. As the airport becomes more reliant on the ACC, the corresponding systems that provide the ACC with data become more important. Their continued availability, confidentiality, and integrity is of paramount importance and every step necessary to ensure the successful operation of the systems and applications should be taken. Even for small and medium-sized airports, security begins with security governance. As either a component of the Facility Security Plan or as a standalone initiative, ensuring proper security controls is essential to system security. Recommendation 53: Create a technology security governance committee and approach to ensure that all ACC systems are protected physically and from a cyber perspective. Recommendation 54: Perform a cybersecurity risk assessment. Some elements of the ACC, such as video surveillance and the massive amount of data that it generates, raise legal considerations that affect system planning, design, and operational usage patterns. From the placement of cameras to the safeguarding and retention of the data collected to the access, use, and dissemination of that data, security system planners and designers must be mindful of requirements imposed by federal, state, and local laws. Recommendation 55: Include airport legal counsel on all aspects of the ACC design, functionality, system components, and data and information considerations. 9.8 Section 8, Operations The primary mission of an airport staff is to ensure continuous, safe, secure, and efficient oper- ation of everything within the physical boundaries of the airport, including runways, terminals, roadways, support facilities, perimeters, and critical infrastructure. A good working environ- ment is critical to bringing about the clear, direct, and coherent communications necessary to achieve this goal. A critical element in maintaining the effectiveness of the ACC, once it is implemented, is to ensure that it evolves with changes in the airport organization, structure, and mission. Major changes in the airport’s operations, such as a shift to a fully common use airport or the opening of a new runway or terminal, will have a major effect on the ACC. However, even the smallest change could affect the systems, processes, and procedures in place, and ACC management must make the appropriate modifications necessary to ensure that changing conditions have been properly reflected in the all of the ACC’s supporting documentation, including the CONOPS, situational awareness templates, policies, and SOPs. Depending on the structure which the airport director has chosen for ACC management, this responsibility falls on the shoulders of the ACC manager or a committee of those organizations represented in the ACC. Whatever the management structure, changes must be reflected in a timely and accurate manner consistent with the operational change. Recommendation 56: Ensure that the roles and responsibilities for ACC management reporting lines are clear. The CONOPS embodies the intended mission and functionality of the ACC. As the number of systems increases and the complexity of the systems grow, it is more important than ever for all ACC personnel to fully understand the CONOPS. The CONOPS provides the operational guid- ance that dictates how the systems should be used, the information that will be provided, proper maintenance of the system, and how the system will complement their own skills and expertise.

Recommendations 129 The basic outline for a set of operating procedures will be established during the development of the CONOPS, in which stakeholders consider each ACC function, the information needed for that function, the decision-making process, and the parameters available on which to make decisions and achieve the desired outcome. The ACC SOPs are based on the CONOPS. Virtu- ally every function listed in the CONOPS will have at least one (and likely many) corresponding SOP. The ACC SOP document consists of step-by-step information on how to execute a specific ACC task. The airport probably has a comprehensive document or at least several policies and procedures previously created. It may be that the airport’s primary goal is to simply compile all of its outstanding procedures, re-write them in a common format, and publish this as its SOP document. Recommendation 57: Develop a systemic and consistent approach to the development, maintenance, and use of SOPs. Management of ACC personnel is perhaps one of the biggest challenges in the airport envi- ronment. Depending on the functionality of the ACC, the size of the staff, the number of sys- tems, and the level of activity in the airport, the stress level of ACC personnel can be high. This is especially true during irregular operations and emergency conditions. Recommendation 58: Stress the importance of the ACC personnel as a factor when making ACC-related decisions. All ACC personnel should be familiar with and trained on all aspects of the ACC’s operations. As procedures are added, revised, or eliminated, continued training of ACC personnel is essen- tial to ensuring effective operations. Recommendation 59: Commit to regular training of ACC personnel and testing of proce- dures and processes (especially emergency or irregular operational procedures), to ensure that they are understood and can be carried out when needed, Ensuring that the ACC maintains a comfortable working environment is critical. Every aspect of the working conditions, from lighting to temperature control to physical space, must be maintained in the most pleasant condition possible. Typically, the airport’s facility management staff will be responsible for the physical nature of the ACC. Recommendation 60: Designate one individual with the authority and responsibility to ensure that all physical and environmental components in the ACC meet acceptable working conditions. The safety and security of the ACC are of critical importance. As the nerve center of the airport operation, the ACC must be able to operate without interruption in the event of any natural or human-made occurrence. A risk assessment is recommended for during the project manage- ment phase of the project implementation. The risk assessment should cover any potential risk the ACC could face. Revisit the risk assessment regularly (at least annually) to ensure that risks are correctly listed and that mitigation activities remain relevant to the risk. The airport operator should continually update its risk assessment and develop mitigating actions in a formal plan. The plan and actions should be overseen by a committee tasked with ACC security, typically called an FSC. Although the ASP may be sufficient for the rest of the airport, the security of the ACC requires additional review and from a larger group than the public safety organization. A formal FSC should be created specifically to manage ACC security. The public safety group is included in this group and, ultimately, all decisions could be included in the ASP. Recommendation 61: Create a formal FSC to manage the ACC’s security.

130 Guidance for Planning, Design, and Operations of Airport Communications Centers The FSC is responsible for ensuring that a written Facility Security Plan is developed specifi- cally for the ACC. Recommendation 62: Create a formal Facility Security Plan for the ACC. If the primary ACC location is disabled for any reason, natural or human-made, the airport must have a business continuity plan to temporarily relocate its ACC personnel to a backup facility where the critical functionality of the ACC can be conducted until the primary facility is restored. Recommendation 63: Choose an appropriate backup site for the primary ACC.

131 A P P E N D I X A General • Key Concepts in Operations Management, Michel Leseure, 2010, SAGE Publications • Strategic Operations Management, Steve Brown, 2015 • “1362-1998 - IEEE Guide for IT - System Definition - Concept of Operations (CONOPS) Document,” IEEE December 22, 1998 and updated August 06, 2002. (This is standards- type document describes the format and content of a CONOPS document for an IT system, including how users and other stakeholders can establish system quantitative and qualitative characteristics, and how to address user interactions with the system. • Concept of Operations for the Future Digital System, U.S. Government Printing Office, October 01, 2004 • “Operational Concept Description (OCD)”, U.S. Department of Defense DI-IPSC-81430A, January 10, 2000 • “Concept of Operations for Commercial Space Transportation in the National Airspace System” Version 2.0, U.S. Federal Aviation Agency, May 11, 2001 http://www.faa.gov/air_traffic/satms/ media/CONOPS_narrative_v2.pdf Systems Engineering Systems engineering integrates the CONOPS approach with developing technical solutions. Examples of system engineering documents that address the standards process in both technical and management respects and that have general applicability to airports and to airport security systems follow: • ANSI/EIA-632, Processes for Engineering a System. Provides an integrated set of fundamental processes to aid in the engineering or re-engineering of a system. • IEEE Standard 12207:2008 (ISO/IEC 12207:2008(E)), Systems and Software Engineering— Software Life Cycle Processes. Establishes a common framework for the supply, development, operation, maintenance, and disposal of software products and the software portion of a system, whether performed internally or externally to an organization. • IEEE 42010:2011 (ISO/IEC), Recommended Practice for Architectural Description of Software- intensive Systems. Addresses the creation, analysis, and sustainment of architectures of systems through the use of architecture descriptions. • ISO/IEC 15288:2008, System Life Cycle Processes. Establishes a common framework for describ- ing the life cycle of systems created by humans and defines a set of processes and associated terminology within that framework. • IEEE 16326, Systems and Software Engineering Project Management. Specifies the content of a project management plan. Concept of Operations Reference Guide

132 A P P E N D I X B CONOPS Template CONCEPT OF OPERATIONS FOR AIRPORT NAME ________________________________________ Airport Director Date: ________________________________________ Project Manager Date: ________________________________________ ACC Manager Date:

CONOPS Template 133 Record of Reviews and Changes Change ID Date Reviewed Date Approved Comment Signature

134 Guidance for Planning, Design, and Operations of Airport Communications Centers Concept of Operations TABLE OF CONTENTS Executive Summary 1. Mission Description 2. ACC Operational Context and Architecture 3. Organizational System Drivers and Constraints 4. Center Functions 5. Operational Scenarios 6. Implementation Concepts and Rationale 7. ACC Operational Architecture 8. Organizational and Business Impact 9. Risks and Technology Readiness Assessment 10. Notes 11. Appendices

CONOPS Template 135 Executive Summary 1. Mission Description 1.1 Mission Statement A succinct one- to two-paragraph statement which embodies the purpose and function of the ACC. It will be used continually when adding new functionality to the center. 1.2 ACC Goals and Objectives 1.3 ACC System Architecture This section describes the current systems operating in the ACC and includes the following: • The operational environment and its characteristics • Major system components and the interconnections among these components, operational nodes, activities performed at each node, and connectivity and information flow between nodes • Interfaces to external systems or procedures • • Capabilities or functions of current systems, including activities and relationships among activities, inputs and outputs, constraints, and mechanisms that perform those activities. Charts and accompanying descriptions depicting inputs, outputs, data flow, and manual and automated processes sufficient to understand the current system or situation from the user’s point of view • (Optional) Performance characteristics (e.g., speed, throughput, volume, and frequency of individual systems ) • (Optional) Quality attributes (e.g., reliability, maintainability, availability, flexibility, portability, usability, and efficiency ) • (Optional) Provisions for safety, security, privacy, and continuity of operations in emergencies 2. ACC Operational Context and Architecture The Executive Summary, usually around two pages long, should summarize the purpose of the document, including any guidance which is meaningful to the preparation and approval process of the CONOPS. The Executive Summary focuses the stakeholder’s attention on the most important aspects of the CONOPS document and provides sufficient information for the executive decisionmaker to understand the purpose and contents of this conceptual document. The ACC operational context clarifies the boundaries of the center as it is being conceived. This section describes the placement of the ACC within the airport organizational structure, types of users or personnel contained within the ACC, training and skill required, responsibilities, activities, and interactions with one another. This section also includes a Command Relationship Chart detailing the command, control, and coordination of all organizational components in the ACC. The Mission Description is an overview of the ACC’s goals and objectives, underlying mission and business rationale, the current (As Is) Architecture, a list of key stakeholders and expectations, and the current gaps in capabilities that require resolution. It also looks at the future of the ACC and begins to lay the framework for potential expansion of the ACC as the mission evolves. Enter Airport Management’s Goals for the ACC. These are broad-ranging statements which describe the ultimate achievements that management is seeking with the ACC. For each goal, enter the concrete objective(s) to be attained within the overall goal statement.

136 Guidance for Planning, Design, and Operations of Airport Communications Centers In this section, the following six components should be addressed: • Current functional components of the ACC • Current organizations, roles, and responsibilities • Current policies, including regulations, procedures, and standards of all entities which may govern activities in the ACC, including the airport, the FAA, and NIMS • Projected ACC performance drivers • Existing communication protocols and standards and intended modifications • Current and projected personnel numbers, skills, and competencies 3. Organizational System Drivers and Constraints 3.1 Outline the Airport Operational Approach Identify the airport’s approach to operational management, situational awareness, and other functions being operated from the ACC. 3.2 Legal Requirements Specifically Related to the ACC List all legal requirements that apply to the ACC. 3.3 Identify External Airport Organizations That Support the ACC and Describe Their Roles List all entities external to the airport that may have a role in working with the ACC, including IROP and emergencies 3.4 Identify Any Organizational Constraints that Impact the Entire ACC 4. Center Functions 4.1 Individual Center Functions This section will include an entry for each of the functions (see Appendix C) contained within the ACC and the following sections will be repeated for every function: • Function Title • Detailed description of the function. This paragraph provides a detailed description of the function and should include, as applicable: A description of the function The function’s operational environment and its characteristics Operational Scenarios, including the situational awareness template, where applicable. Include one or more operational scenarios that describe the role of the function and its interaction within the airport’s internal and external stakeholders. The scenarios should include events, actions, stimuli, information, interactions, and so forth, as applicable. • Related CONOPS Functions. List any other function managed in the ACC that has a tangential relationship to the function. • Related Airport Functions. List any other function managed elsewhere in the airport that has a tangential relationship to the function. • Information Foundation. Include all of the following: — — — — Inputs to the function from systems, reports, regularly scheduled meetings, including interfaces to external systems or procedures — All outputs from the function

CONOPS Template 137 5. Operational Scenarios 6. Implementation Concepts and Rationale Describe how the ACC was developed and the rationale used to justify its development. 7. ACC Operational Architecture 8. Organizational and Business Impact 9. Risks and Technology Readiness Assessment Include either the initial risk assessment developed for the ACC or the most current risk assessment. 10. Notes This section may contain any general information that aids in understanding the CONOPS for the ACC. 11. Appendices Appendices may be used to provide additional information related to the ACC. — Constraints or obstacles that affect the function - This paragraph describes any operational policies and constraints that apply to the function — The primary manager of the function and their reporting structure — The roles and responsibilities of all airport staff responsible for the proper execution of the function — The intended outcome of the function – describe the airport’s intended successful objective in performing this function, including goal and related objectives — Performance metrics which measure a successful outcome for the function – list performance indicators which identify a success level for the function List any major scenarios that affect the ACC in its entirety. For example, list all situations which the airport considers as a “major event.” Describe the ACC in a graphical representation, depicting all of the information flows, systems, and inputs and outputs. Include the interface to non-ACC systems where relevant. Describe airport management’s view on the effect that it expects the ACC to have on the business of the airport organization and its stakeholders (e.g., community, airlines, and concessionaires).

138 A P P E N D I X C CONOPS Function Template (AIRPORT NAME) COMMUNICATION CENTER CONCEPT OF OPERATIONS FUNCTION DESCRIPTION FUNCTION REFERENCE NUMBER: DATE ESTABLISHED: __________ LAST REVISION: __________ Function Title: _____________________________ Detailed Description: Related CONOPS Functions: Related Airport Functions:

CONOPS Function Template 139 Performance Metrics: Function Goal and Expected Outcome: Function Manager: Responsible Staff and Roles: Information Foundation for the Function (systems, meetings): Constraints or Obstacles:

140 Situational Awareness Template A P P E N D I X D Sample Situational Awareness Template Situation Name and/or Short Description: Situation Reference Number: An airport should consider developing a taxonomy which allows for easy reference to all situations. Situational Condition: Describe in detail. Severity Metrics: List any metrics which may be used to measure the severity or size of the situation, including thresholds which trigger actions.