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62 All newly written stand-alone notification-specific programs will need a strategically written rollout-specific plan and timeline. A strategic rollout of the program is critical to help identify areas of weakness, gaps that may exist, and/or personnel issues. The strategic rollout plan should cover all initial actions needed, such as systems and procedures testing, the dissemination of information to stakeholders, required training, planned exercises, and âgo liveâ logistics. Once the rollout has been executed, a formal evaluation of system performance and operator needs also should be conducted. In this guidebook, resources that airports can adapt for use as they implement and then man- age the program are labeled IM-1, IM-2, and so forth. Resource IM-8, which presents an over- view checklist useful to the PPT, is provided at the end of this chapter. Resources IM-1 through IM-7 are provided in Appendix E as part of the OPDG for Implementing the Program and Managing via Continuous Improvement Cycles. Developing a Program Rollout Strategy and Plan A phased rollout is sometimes the best approach. Plans developed with incremental steps are much easier to manage. The key factor to a successful rollout plan is effective change manage- ment. The plan should include clearly communicating the programâs benefits, gaining stake- holder acceptance, not overwhelming employees with âtoo much too soon,â and gaining a clear understanding of the program expectations. A clear understanding of the program by all will help build positive support for the program. A written plan for a phased rollout strategy may include (but not be limited to): â¢ A comprehensive timeline inclusive of phases and benchmarks; â¢ Plans for any needed systems testing and/or certification processes; â¢ Provisions for training as needed for groups such as: â Senior management; â First responders; â The general population; â System operators (via classroom exercises, tabletops, etc.); and â External stakeholders. â¢ Provisions for educational materials for necessary program components such as: â A program overview, â Program policies, â Program enrollment processes, and â Protection of personal information assurances. See Resource IM-1 (in Appendix E) C h a p t e r 7 Implementing the Program and Managing via Continuous Improvement Cycles
Implementing the program and Managing via Continuous Improvement Cycles 63 â¢ Plans for informing stakeholders using outreach materials such as: â PowerPoint presentations, â Informational flyers, â Briefings at stakeholder meetings, â Website postings, and â Email notifications. â¢ Provisions for conducting exercises/drills/practice runs to test the planned systems/methods/ tools and operator understanding and proficiency using: â Tailgate meetings, â Tabletop exercises (TTX), and â Functional exercises. â¢ Specifications for when the program will âGo Live.â Managing via Continuous Improvement Cycles The basic concept for continuous improvement cycles has been built into federal regulations and advisory circulars for decades. In recent years, the HSEEP has provided excellent guidance by expanding on the continuous improvement cycle principles. HSEEP provides a standardized approach for âconducting exerciseâ program management that can be applied to any program in order to ensure continuous improvements. Continuous improvement cycles ensure that a program keeps abreast of changing conditions and does not become stagnant (see Figure 7-1). Continuous improvement is an ongoing effort that uses evaluations and employee feedback on events and/or exercises to find areas of strengths and to address areas needing improvement. See Resource IM-2 (in Appendix E) Figure 7-1. HSEEP continuous improvement cycle. HSEEP also is discussed in Chapter 6 of this guidebook. It is important that notification programs never become stagnant; input from groups, such as senior management, operators, stakeholders, notification recipients, and others, is vital.
64 Guidebook for preparing public Notification programs at airports Support and encouragement from senior management is cited as the number-one success factor of continuous improvement initiative. The airportâs notification program should be modified as deemed necessary, thereby allowing improvements to happen in small, incremental steps. Using a continuous improvement cycle approach enables airports to regularly evaluate and identify areas of concern, areas needing improvement, and areas that are working well. Implementation of the airportâs Improvement Plan ensures that all areas identified as needing improvement are monitored and managed through to completion. It is suggested that improvements be made in small, incremental steps. An Improvement Plan should: â¢ Describe in detail the improvement(s) needed, â¢ State clearly who is responsible for implementing the needed change(s), â¢ Detail a schedule for completion of the identified action(s), â¢ Implement improvement(s) as soon as possible, and â¢ Follow-up on improvement(s) to ensure desired results. The balance of this chapter describes the four elements that are critical to the success of the continuous improvement cycle approach (see Figure 7-2). Attending to these four elements can prove effective when managing an airport notification program. Element 1. Stakeholder Suggestion Program For a variety of reasons, stakeholders may never be active participants in an airportâs scheduled training or exercises. Therefore, inviting stakeholders to participate in an airport suggestion program can become a backbone for continuous improvement. Suggestion pro- gram participants might include employees and other internal stakeholders as well as exter- nal stakeholders. Rewarding and recognizing stakeholders for their contributions can greatly encourage their involvement. See Resource IM-3 (in Appendix E) Figure 7-2. Elements of the continuous improvement cycle.
Implementing the program and Managing via Continuous Improvement Cycles 65 Productive stakeholder suggestion programs will: â¢ Have defined objectives, â¢ Have defined guidelines, â¢ Involve all stakeholders, â¢ Welcome all ideas (Accept that no ideas are bad!), â¢ Respond to all suggestions, and â¢ Set a goal to try adopting a specified number of ideas quarterly and/or annually. Element 2. Evaluation of Significant Events Airports experience significant events that trigger notifications. After each significant event, a formal evaluation should be conducted. Airports should also consider conducting scheduled exercises that follow HSEEP principles and include a formal evaluation process. The airportâs notification program can include protocols for evaluating exercises and significant events. Such formal evaluations should prescribe specific steps that ensure identification and follow-through on needed changes or improvements. A formal evaluation process may include (but not be limited to): â¢ Debriefing the event as soon as possible post recovery, â¢ Creating an After Action Report (AAR) document, â¢ Having management review and comment on the AAR, â¢ Identifying needed changes or improvements, â¢ Creating a corrective action plan, â¢ Communicating changes, â¢ Retraining as necessary, and â¢ Repeating this process as needed. Element 3. Exercise Plan Part 1. Training Exercise Plan (TEP) Each Improvement Plan developed during the evaluation process after an exercise or signifi- cant event drives future training opportunities. As part of the Improvement Plan, the airport can include a Training Exercise Plan (TEP) that describes the training programâs purpose, priorities, and methodology, and includes a multi-year training and exercise schedule. Training frequency is up to the administrative staff. More frequent testing and training on resources can be expected to produce higher performance when needed in response to sig- nificant events. Therefore, airports are advised to consider including a multi-year training and exercise plan as part of the continuous improvement approach to their notification programs. The TEP is designed to coordinate the effort to provide improved performance from operators, systems, and procedures. Sections in the TEP should include (but not be limited to): â¢ Purpose. This section provides an overview of the TEP and the airportâs overall training and exercise program for a specific multi-year period. â¢ Program Priorities. This section describes how the airport establishes priorities for training and exercises, and how assessments, post-event and exercise After Action Reports (AARs), and notification program Improvement Plans influence training and exercise priorities. â¢ Program Methodology. This section outlines how the training course and exercises were selected and how they will be tracked with respect to progression and improvements. â¢ Multi-Year Training and Exercise Schedule. This section presents the proposed activities as scheduled in a multi-year TEP. See Resource IM-4 (in Appendix E) See Resource IM-5 (in Appendix E)
66 Guidebook for preparing public Notification programs at airports Part 2. Discussion-Based Exercises HSEEP classifies exercises in one of seven categories. In the context of a notification program, however, it is only necessary to focus on discussion-based exercises. Discussion-based exer- cises familiarize participants with an airportâs current program plans, policies, agreements, and procedures. Discussion-based exercises can be: â¢ Seminars. These informational discussions are designed to orient participants to new or updated plans, policies, or procedures. â¢ Games. Typically, these are simulations of operations that may involve two or more compet- ing teams and use rules, data, and procedures designed to depict an actual or assumed real-life event. â¢ Tabletop Exercises (TTXs). These activities involve key personnel discussing simulated sce- narios in an informal setting. TTXs can be used to assess plans, policies, and procedures or to assess the systems needed to guide the prevention of, response to, and recovery from a defined incident. TTXs typically are aimed at facilitating understanding of concepts, identify- ing strengths and shortfalls, and generating positive changes in attitude. TTX participants are encouraged to discuss issues in depth and to develop solutions through slow-paced problem solving (as opposed to the rapid, spontaneous decision-making that occurs under actual or simulated emergency conditions). Part 3. Discussion-Based Exercise Planning Process The planning process for discussion-based exercises involves preparation, execution, and documentation. Exercises should target specific tasks or hazard-specific sections of the notifica- tion program. Planners are encouraged to develop an exercise plan around a realistic scenario to trigger the desired actions from the participants. They may also develop designed scenario âinjectsâ to be used during the execution of the exercise. Facilitator-driven scenario changes, injects can be used to lead the exercise in the desired direction. A well-prepared plan is needed for a successful discussion exercise. Typically, a single facili- tator coordinates and manages the exercise according to the plan and the desired objectives. A debriefing involving all the participants should immediately follow the exercise, and a formal AAR completed that identifies and documents all areas of strength and areas needing improve- ment. The AAR should be evaluated by management and, if needed, an Improvement Plan should be developed. Element 4. Training Given that training functions to impart skill or knowledge, it should be provided through various means to encourage participation, comprehension, retention, and sharing by the partici- pants. Training on important skills or knowledge needs to be offered as initial training, recurrent training, and âas-neededâ training. As-needed topics can be presented as gaps in knowledge become evident or as policies and procedures change. Training procedures should be main- tained in training manuals and in the airportâs SOP manuals. Training plans must provide for technology usage by system operators and message recipi- ents (e.g., radios or Integrated Communications Platforms [ICPs]). Training plans also must include procedures (e.g., specify who is responsible for what actions), contingency plans, and an overview of the master program that enables trainers and participants to understand how all the moving parts operate as a whole. The plan should ensure that all appropriate audiences receive necessary training. For example, does the training affect contractors, and is there an efficient method of training this temporary See Resource IM-6 (in Appendix E) See Resource IM-7 (in Appendix E)
Implementing the program and Managing via Continuous Improvement Cycles 67 population? Some eLearning courseware can incorporate notification training as part of security awareness training before contractors receive their temporary badges. Neighboring communities often are overlooked as an integral part of the airportâs stakeholder community that will receive notifications and need corresponding training. For example, one of the case studies reviewed as part of ACRP Project 10-25 involved a university situated near a zoo. It became evident that the universityâs rocket testing scared the animals and that a notification process and training was necessary. Planners are encouraged to consider the audience and the time allotted for each training opportunity when deciding on training methods and content to be covered. Planning to use a variety of training formats can help an airport address diverse training needs more effectively. â¢ Triennial drills offer excellent opportunities to test all systems, procedures, and appropriate notifications for a particular type of emergency. â¢ Monthly meetings held by stakeholders or with employees offer opportunities to use brief- ings, PowerPoint presentations, or flyers to convey important notification updates. â¢ Website postings and email notifications can provide an ongoing stream of information pertinent to notifications, such as reminders to contacts to update their phone or email information. â¢ Airport blogs or internal newsletters also can lend themselves to providing updates and prompts. â¢ eLearning systems or learning management system (LMS) platforms offer the ability to upload effective and engaging courseware and training resources, which can be accessed by the airport community to teach or reinforce notification information and execute âRead and Acknowledgeâ forms for electronic recordkeeping. â¢ Post-event and post-exercise evaluations (both written and electronic) can generate assess- ments that identify common knowledge gaps or improvement needs and test participantsâ knowledge of notification best practices. Written plans for all training events should include the following sections: â¢ Description. This section provides a brief overview of the material to be covered. â¢ Learning Objectives. This section specifies what the student will be able to understand or do at the completion of the training. â¢ Instructional Method. This section clarifies the method(s) to be used to convey learning content (e.g., computer-based training, seminars, games, on-the-job training including certi- fications, workshops, instructor-led classes, or tabletop exercises). Ensure that all training staff and participants understand the importance of pro- tecting Personally Identifiable Information (PII); notification systems will contain contact lists and may include private details. Essentials of Notification Program Training Who Training that pertains to an airportâs notification program should be provided to those in the airport environment who send notifications (e.g., Operations, Communications Center); those who receive notifications (e.g., first responders, concessionaires); and all those who are affected
68 Guidebook for preparing public Notification programs at airports by notifications (i.e., passengers, contractors, the general population). Documentation should ensure that primary and secondary contacts are identified for all hours of airport operation. Audiences â¢ Senior management of the airport, â¢ Employees, â¢ First responders, â¢ System operators, â¢ Contractors, â¢ Concessionaires, â¢ Vendors, â¢ External stakeholders, â¢ Members of general population (the public), and â¢ Neighboring communities. What Topics to be covered as part of the notification program, as discovered through: â¢ Input from airport community stakeholders, â¢ Reviews of industry best practices, â¢ Drills and exercises that reveal knowledge gaps, and â¢ Regular plan reviews by airport management and/or designated PMT/PPT staff. When It is important for airport staff to identify a training schedule. The schedule will include dates and durations for training that uses a full range of notification training methods, including regular tips and reminders as provided through an internal blog or newsletter; regular tabletop exercises (e.g., exercises conducted monthly involving stakeholders reviewing a different part of the pro- gram each month); and full-scale drills that replicate possible emergency situations and include use of the appropriate notification systems/processes being tested. Recommended frequencies include monthly, quarterly, and yearly (as well as the triennial drill), and ongoing training. Schedule â¢ Initial training, â¢ Recurrent training (including post-exercise training), â¢ Training on updates/changes in policy/procedures, and â¢ Post-event training. Where Although some impromptu training takes place as needed on the job, it is necessary to have a master plan that includes necessary resources and appropriate locations for pre-planned, sched- uled training. Appropriate locations and resources are needed for: â¢ Tabletop exercises, â¢ Functional exercises, â¢ Tailgate meetings, â¢ Classroom training, and â¢ Online training.
Implementing the program and Managing via Continuous Improvement Cycles 69 How Training Methods â¢ PowerPoint presentations, â¢ Flyers, â¢ Briefings at stakeholder meetings, â¢ Website postings, â¢ Email notifications, â¢ Training resources on LMS portal, and â¢ eLearning. Contact Information (Collection and Maintenance) Certain categories of systems allow for sending notifications to specific individuals as opposed to general audiences. For example, most mass notification systems can send notifications to spe- cific individuals or to groups, depending on the audience requiring the notification. To accom- plish this type of specific notification, the mass notification system must be populated with the contact information for each individual. Populating correct data into a mass notification system can be a significant undertaking, par- ticularly if data for a large number of individuals will be entered. For each individual in the system, a contact record will contain fields for recording the personâs name, company name, office address, office telephone, mobile telephone, home telephone, email address, and so forth. Each record can be entered manually by staff at the airport or records may be uploaded in a group from a correctly delineated spreadsheet, from a human resources information system, or from some other source. Some systems allow for the use of a secure website for individual self- registration from a computer, cell phone, or other mobile device. Once the contact information has been entered into the airportâs system, it must be main- tained to ensure that it is both accurate and current. Ongoing contact information maintenance goes hand in hand with notification system testing. When a test notification is sent, many sys- tems allow the sender to review a listing of all notifications made to determine exactly who didâ and did notâreceive them. If it is determined that an individual did not receive a notification, the airport can investigate to identify the cause. In some cases, this reason may be incorrect or out-of-date contact information. Another method the airport can use to maintain the most current information in the notifica- tion system is to ask each individual in the system to review and update his or her contact details on a periodic basis. PII Security PII is any information about an individual maintained by an organization that can be used to distinguish or trace the individualâs identity (e.g., name, Social Security number, date and place of birth, motherâs maiden name, biometric records, and any other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information). Airports must collect certain categories of PII to send notifications to specific individuals. Examples of PII that may be required in an airport notification system include (but are not limited to): â¢ Name (full name, maiden name, motherâs maiden name, or alias); â¢ Personal identification numbers (Social Security number, passport number, driverâs license number, or other assigned number);
70 Guidebook for preparing public Notification programs at airports â¢ Address information (work address, home address, and/or email address); and â¢ Geographic or employment information. Airports are advised to apply appropriate safeguards to protect the confidentiality of PII using a combination of operational safeguards, privacy safeguards, and security controls such as: â¢ Policies and procedures for protecting the confidentiality of PII; â¢ Employee training to reduce the chances PII will be accessed, used, or disclosed inappro- priately by employees with system access; â¢ Access control policies and procedures, including physical and logical access; â¢ Limits on mobile device access to systems containing PII given that devices such as laptops, tablet computers, and cell phones are all generally higher risk than desktop computers; â¢ Transmission confidentiality through encryption of communications or information before it is transmitted; and â¢ Auditing and incident response plans to monitor events such as inappropriate access to PII and to handle breaches. Individual airports may be subject to differing laws, regulations, and other mandates related to protecting PII. For this reason, the PMT or PPT is advised to consult the airportâs legal counsel and privacy officer to determine the current obligations for PII protection. Employee Staffing and Training Planning for public notifications includes discussions of the staffing and training necessary to perform the function. Because notifications may be required at any point during the day, it is important to schedule airport employees who can send notifications during all hours of opera- tion. Readiness includes having employees (primary, secondary, etc.) trained, knowledgeable, and empowered to make notifications. System Testing Airport notification systems should be tested on a regular basis, especially those systems that are used for emergency notification. Regular testing can be used to find any potential system problems or issues that need to be addressed. Airport emergency notification systems should be tested more frequently to ensure system availability. Minimum required system testing fre- quency may be specified in applicable federal, state, and local laws. Airports may decide to test systems more often than required by law based on the unique needs or demands of the opera- tion. System testing also can be undertaken during airport full-scale exercises, tabletop exercises, and drills. Notification System Training and Exercises Like all systems that are used in airports to respond to emergencies, notification systems require training and exercises to be used effectively. As was mentioned earlier, training must be given to airport employees responsible for sending notifications. Initial notification system training can be supplemented by recurrent training and testing using the systems during emer- gency exercises. Exercises can be a valuable way of testing emergency plans in a safe environ- ment, as they can highlight potential problems. By incorporating emergency notifications into scripted exercise scenarios, capabilities can be evaluated and potential deficiencies addressed before an actual emergency.
Implementing the program and Managing via Continuous Improvement Cycles 71 (Implementing and managing the programâPPT checklist) (Customize table/add rows as necessary) IMPLEMENTING & MANAGING THE PROGRAM Yes No Not Sure Not Applicable The team has obtained/developed/created: A strategically written rollout-speciï¬c plan A rollout timeline A plan for system testing A plan for procedure testing Ways to disseminate information to stakeholders Material for required training An exercise schedule developed for the next 12 months A formal evaluation process for exercise(s) A formal post evaluation process for signiï¬cant events A continuous improvement cycle An Improvement Plan process for addressing areas of concern A stakeholder suggestion program that has been instituted A plan for initial training A plan for recurrent training Other Other Resource IM-8