Y2K Contingency and Consequence

Management Planning for

Year 2000 Conversion

A Guide for State and Local

Emergency Managers

February 1999
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion i

1. GETTING STARTED 1

What Is the Y2K Problem? 2

Who Could Be Affected? 2

What Infrastructure Systems Could Be Affected? 3

Why Should I Be Concerned about the Year 2000 Problem? 4

How Can I Verify That All My Systems Are OK? 4

What Kinds of Plans Do I Need? 5

Which Functional Areas Need Plans? 5

How Do I Develop a Contingency Plan? 6

When Should I Plan? 7

How Can I Promote Community-Wide Readiness? 7

How Can I Help the Public Prepare? 8

What Else Can I Do? 8

What Is FEMA Doing to Prepare for Nationwide Response? 9

How Are State and Local Governments Addressing the Problem? 10

Where Can I Find Useful Information about the Y2K Problem? 10

2. GETTING CONTROL OF THE PROBLEM — ASSESSING RISK 11

How Widespread Is the Problem? 11

How Can I Tell If I Have an Embedded Chip Product? 15

What Can I Do About These Devices? 15

When Will the Problem Strike? 15

Vulnerability Analysis 17

Directions for Using the Vulnerability Analysis Chart 17

TABLE OF CONTENTS
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ii Contingency and Consequence Management Planning for Year 2000 Conversion

3. GETTING CONTROL OF THE PROBLEM —

KEEPING YOUR OWN AGENCY RUNNING 21

How Will I Know If My Own Systems Are Y2K Compliant? 21

Resources for Testing Your Systems 22

Where Can I Get Help in Fixing My Systems? 23

Planning for Continuity of Operations 23

4. GETTING CONTROL OF THE PROBLEM —

YOUR CONSEQUENCE MANAGEMENT PLAN 25

Gathering Information for Your Plan 26

Step 1. Identify the Potential Impact on Your Jurisdiction 26

Step 2. Identify Potential Community Resources 29

Step 3. Promote Interdepartmental Teamwork 30

Step 4. Work with Other Governmental Units 31

Step 5. Coordinate with Utilities and Other Businesses to Prepare 32

Step 6. Establish Communication with the Public about Y2K 33

Organizing the Y2K Effort 34

Sample Plan 42

Resources for Helping the Public Prepare for Y2K 45
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Contingency and Consequence Management Planning for Year 2000 Conversion iii

5. NEXT STEPS 47

Developing an Incident Management Plan 47

Obtaining Additional Information 48

Types of Resources Available 48

Selected Web Site Listings 49

Additional Contacts 52

LIST OF TABLES

Table 1. Some Infrastructure Systems at Risk 3

Table 2. Levels of Computer Technology 5

Table 3. Equipment and Systems to Check for Y2K Problems 13

Table 4. Important Dates for Y2K 16

Table 5. Vulnerability Analysis Chart 20

Table 6. Example Procedures for Operating during or after System Failures 38
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iv Contingency and Consequence Management Planning for Year 2000 Conversion

The Federal Emergency Management Agency (FEMA) has

produced this guide to help State and local emergency

managers meet the Year 2000 (Y2K) challenge by developing

effective contingency plans. The National Emergency

Management Association and the International Association of

Emergency Managers provided helpful advice in the

development of this guide.

Other information sources used include:

American Red Cross

Chief Information Officers Council Committee on Year 2000

Commonwealth of Pennsylvania and the Government of Canada

Environmental Systems Research Institute, Inc.

Gartner Group

General Accounting Office

League of Minnesota Cities

Metropolitan Washington Council of Governments

President’s Council on Year 2000 Conversion

State of Florida Year 2000 Project Office

State of Kansas, Department of Administration,

Division of Information Systems and Communications

State of Minnesota, Department of Public Safety,

Division of Emergency Management

State of New Hampshire, Office of Emergency Management

State of Texas, Department of Information Resources

Many other States, municipalities, Federal agencies, and private

organizations have developed helpful Y2K publications or web

sites. The web sites listed in this guide will link you to basic

information that is currently available. New sites are constantly

appearing and old sites are sometimes changed, so be sure to

keep checking for useful information. You can also call 1-888-

USA-4-Y2K for information on a range of topics.
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Contingency and Consequence Management Planning for Year 2000 Conversion v

The approaches described in this guide are recommendations, not

regulations. Following them will not, in itself, ensure compliance

with any applicable Federal, State, or local regulations. Nor will it

ensure that you will not experience Y2K disruptions.

If you are just starting to address the Y2K problem in your State

or communities, Section 1, Getting Started, provides a brief

overview of:

• the Y2K problem

• who and what it could affect

• the basics of checking systems

• the actions being taken by the Federal government

• the actions that you should take now

Sections 2–5 provide more detailed information on:

• assessing risks

• testing systems

• developing consequence management plans
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vi Contingency and Consequence Management Planning for Year 2000 Conversion
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 1

1. GETTING STARTED

These days, almost every newspaper and magazine has printed

articles about the Year 2000 or “Y2K” problem. Some of these

stories are downright scary. They predict massive failures of

power systems, transportation networks, communications, and

other systems at the stroke of midnight, December 31, 1999.

Are they right about what will happen? And if the stories are

true, or even partly true, is there anything you can do about it?

The message of this guide is simple:

You CAN get control of the problem through

planning and preparation — the same kind of

planning and preparation you do regularly in

your work as an emergency manager.

As an emergency manager, your primary focus should be on

protecting public safety and health if Y2K-related incidents occur.

This guide will help you in the process. It describes the nature of

the Y2K problem and explains what you can do to prepare for it.

In a nutshell, you need to take the following steps:

• Assess risk – Get a handle on the size of the problem, both in

your communities and in your emergency response agencies.

• Keep your own agency running – Make sure your own

systems are prepared for the transition to the new century,

and be sure to plan how you will operate if some of your

systems do have problems.

• Develop a consequence management plan – Prepare

a plan for protecting public safety and health if systems in

your community have problems and you must respond.
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2 Contingency and Consequence Management Planning for Year 2000 Conversion

What Is the Y2K Problem?

The Y2K technology problem, also called the “millennium bug,” is

something we have inherited from the early days of computers.

Back then, computer memory was scarce and expensive, so

programmers used a 2-digit entry to designate each year instead

of a 4-digit entry. For example, 1999 was entered as 99.

Unfortunately, the 2-digit date format cannot process dates in

two different centuries. So when the year 2000 arrives, systems

that have the 2-digit year codes may interpret the year “00” to

be “1900.” These systems simply cannot tell the difference

between the years 2000 and 1900 unless they have been fixed

ahead of time.

However, 1/1/2000 is not the only critical date! In fact, some

experts believe that as few as 8% of Y2K problems will occur on

1/1/2000; the rest will occur at another time. See Section 2 for

other dates of concern.

Who Could Be Affected?

Any person using or communicating with a computer or

computer-driven product or system could be affected.

Remember that the systems that could be affected are not just

the actual “computers” or computer software. Any equipment

with “embedded” computer chips could be affected.
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Contingency and Consequence Management Planning for Year 2000 Conversion 3

What Infrastructure Systems Could Be Affected?

Progress is being made daily in ensuring that systems are Y2K

compliant. Still, failures could occur in many kinds of systems

that matter to emergency managers. Table I shows some of

the systems and associated devices that could be affected.

The interconnectedness of many of these systems creates part of

the risk associated with the Year 2000. As a result, you need to

evaluate all systems, not just your own computer systems, for Y2K

compliance. Section 2 contains more information on these at-risk

systems.

Table 1. Some Infrastructure Systems at Risk

Building and Security Elevators, electronic locks, burglar and fire alarms,

sprinklers, photo surveillance equipment, HVAC

equipment, parking lot barriers, equipment maintenance

scheduling services, and card lock systems

Communications Radios, mobile phones, fax and telex machines,

telephones and switches, pagers, closed-circuit

TV cameras/monitors, intranets, and internets

Emergency Services 911 (dispatch and public warning), weather

warning devices

Finance Banks, cash machines, and credit cards

Food Service Refrigeration, freezing, ice-making, and distribution

Health Hospitals, pharmacies, nursing homes, emergency

medical services and equipment

Office Time clocks and stamps

Public Response Police, fire, and emergency medical services and

public works

Transportation Roads (traffic light controllers and vehicle

operations), air, and railroads

Utility Power Electric (generation and distribution), gas and oil

(pipelines and distribution)

Water and Sewage Distribution and wastewater treatment
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4 Contingency and Consequence Management Planning for Year 2000 Conversion

Why Should I Be Concerned about the Year 2000 Problem?

The computerized systems that may fail as a result of the bug

could have an impact on your community — the same kind of

impact as a natural or man-made disaster. For example, if

electrical systems fail, people may need shelter, food, water,

information, transportation assistance, financial help, etc.

Progress is being made daily to minimize the public safety and

health impacts of potential Y2K disruptions. The all-hazards

practices and techniques you routinely use for other disasters

and emergencies should well serve our nation in planning for

the potential consequences of Y2K conversion.

As an emergency manager, you need to understand the

problem, be prepared, and be ready to provide help. You need

to protect systems within your own organization, so it remains

operational. Also, you should promote action on the Y2K issue

in your communities. Include action by all of your communities’

critical service providers.

How Can I Verify That All My Systems Are OK?

Start by checking all levels of computer technology in your

systems and organizations. Begin with the systems that are most

critical to your agencies’ ability to function. Problems can occur

in any of the levels shown in Table 2, even though the other

levels are OK.

See Section 3 for more information on these levels of

technology and what to do about them.
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Contingency and Consequence Management Planning for Year 2000 Conversion 5

What Kinds of Plans Do I Need?

This guide promotes “Contingency and Consequence Management

Planning.” The Y2K community uses the term “contingency planning”

to reflect the uncertainty regarding Y2K disruptions. “Consequence

management planning” for specific hazards is a more familiar term

to the emergency management community.

If you have an all-hazards emergency operations plan, you can

use this guide to develop a hazard-specific Y2K attachment to it.

If not, you can use this guide to develop a stand-alone Y2K plan.

Which Functional Areas Need Plans?

Your job will be to help maintain public safety and health. To do

that, you must maintain normal operations as much as possible.

To respond to disruptions, you may need to activate plans for

operational continuity or consequence management.

Table 2. Levels of Computer Technology

Hardware The chip architecture and the machine’s internal clock

Operating Systems Even some recent operating systems require upgrades

Databases All of the files and data used by your applications

Applications Software and word processors, spreadsheets,

geographic information systems, and hazard models

Custom Code The code built on top of applications

Embedded Systems Many devices contain computer chips. Get

information from suppliers. If you cannot, you might

implement planned replacement/upgrades or devise a

way to work around the failed device.
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6 Contingency and Consequence Management Planning for Year 2000 Conversion

Be sure you have plans to deal with disruptions in the following

areas. Some mainly affect your own operations or the public.

Others affect both. But all are important.

• Emergency services

• Emergency Operations Centers (EOCs)

• 911 systems

• Public warning and information

• Health services

• Communications

• Utility power

• Water and sewage

• Public works and facilities

• Transportation

How Do I Develop a Contingency Plan?

Planning for either continuity of operations or consequence

management has four basic steps:

❏ Identify the problem areas

❏ Develop the plan

❏ Test it

❏ Implement the plan

These steps will help you deal with potential Y2K problems and

help you find a stable, workable solution. In Sections 3 and 4, you

will be guided through this important process.
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Contingency and Consequence Management Planning for Year 2000 Conversion 7

When Should I Plan?

Start now! Just as when you develop plans for other hazards, you

must allow enough time to test your plan before you need to

activate it. We can’t tell you which time frames to use, because

communities vary widely in size and complexity. States and many

local governments have already begun this process.

If you are just beginning, here are some possible time frames for

phases of the planning process:

Identify the problem areas February – March 1999

Develop the plan March – May 1999

Test the plan

Train response personnel June – July 1999

Conduct drills and exercises July – November 1999

Revise the plan as needed Up to November 1999

Implement the plan

Inform the public February 1999 – January 2000

Acquire resources May – June 1999

Activate the plan December 1999 – January 2000

How Can I Promote Community-Wide Readiness?

Some of the most important work in emergency response takes

place at the State and local levels. You have a key role in assuring

preparedness — right now!

As you assess the possible consequences of Y2K conversion, you

should work with critical service providers in your area — both

public and private. Encourage them to take steps to ensure that

their systems are Y2K compliant. State officials should reach out

to local governments to determine their progress. Encourage

them to inform the public about the status of key services —

like power and water — and about how local officials are

preparing to respond to any disruptions.
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8 Contingency and Consequence Management Planning for Year 2000 Conversion

How Can I Help the Public Prepare?

To relieve anxieties and help people prepare for Y2K, you should

conduct public outreach. Tell people that government at all

levels, as well as business and industry, are working together

to solve the problem and ensure that public health and safety

services won’t be disrupted when the new millennium starts.

Distribute brochures on Y2K through schools, local employers,

public meetings, and community groups. Encourage people to get

more involved in all-hazards emergency planning and help them

understand the emergency procedures that are already in place.

See Section 4 for a list of helpful brochures.

In addition, you may want to suggest to the public these

preparations for Y2K:

• Checking with manufacturers of any essential computercontrolled equipment in the home

• Preparing basic emergency supply kits

• Checking home smoke alarms and buying extra batteries

• Keeping a battery-operated radio or television available to

be able to receive emergency information

Tell the public that they should prepare for Y2K disruptions in the

same way they prepare for other problems, such as winter storms

or tornadoes. For more information, see Section 4. FEMA’s

Community and Family Preparedness Program offers resources

to help individuals and communities in emergency preparedness.

What Else Can I Do?

Work with your communities to develop Y2K awareness. Be sure

that you are included in local planning groups; or volunteer to lead

these groups if necessary. Develop a common message for public

dissemination on local Y2K preparedness.
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Contingency and Consequence Management Planning for Year 2000 Conversion 9

Once you have developed a contingency plan, you should develop

an incident management plan in case failures do occur. Within

your own organization, make sure that you have protocol

information for contacting local or state emergency management

officials if communication systems are affected. Decide whether

you should activate your EOCs during the transition.

What Is FEMA Doing to Prepare for Nationwide Response?

FEMA is involved in several activities to prepare for Y2K. These

include:

• Chairing the Emergency Services Sector Working Group of

the President’s Council on Year 2000 Conversion

• Conducting Regional Interagency Steering Committee Y2K

workshops in all ten Regions: February – March 1999,

August – September 1999, and December 1999

• Developing a short course on Y2K for State and local

emergency managers

• Conducting Emergency Educational Network broadcasts

on Y2K, March 1999 through January 2000

• Establishing a Y2K information clearinghouse

• Conducting Federal monitoring operations December 29,

1999 – January 4, 2000

Because of the potential for numerous, small-scale emergencies

across the country, State and local response teams may be

overwhelmed in their efforts to save lives and protect property,

public health, and safety. Consequently, FEMA is currently

developing an Operations Supplement to the Federal Response

Plan (FRP) that describes the federal actions and operations that

are needed to respond to the possible consequences of Y2K.

This supplement will address federal response operations

beyond the current scope of the FRP — operations necessary

to deal with the unique circumstances presented by Y2K

problems. It will also cover the monitoring actions that FEMA

will take prior to the millennium. The Operations Supplement

is scheduled to be published by July 1, 1999.
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10 Contingency and Consequence Management Planning for Year 2000 Conversion

However, FEMA assistance cannot substitute for personal

responsibility taken by individuals and organizations to address

their own situations. FEMA cannot prevent computer disruption

beyond its own agency, nor can it respond to the underlying

technical causes of computer disruption. In addition, there may

be competing demands for resources if Y2K problems arise

simultaneously across the nation. So States and local

communities must be prepared to be self-sufficient for a period

of time if Y2K disruptions are serious.

How Are State and Local Governments Addressing the Problem?

State, county, and local governments are working hard to address

potential Y2K problems. Along with checking that their own

computer systems are Y2K compliant, they are developing

contingency plans to address potential failures in public and

private services. Organizations with successful Y2K programs have:

• Gained the interest and support of high-level management

• Established and used commissions and planning or working

groups to coordinate efforts

• Developed Y2K guidebooks or manuals to help government,

business, industry, and individuals understand and deal with

Y2K problems

• Examined and strengthened mutual aid agreements

• Initiated public outreach programs

Where Can I Find Useful Information about the Y2K Problem?

A lot of information has been generated about this problem. It

is available from agencies and organizations, is located in books

and magazines, and can be found on the World Wide Web.

Finding information about relevant emergency management

concepts and practices, however, can be both time-consuming

and frustrating, since so much information is available. Section 5

contains an annotated list of some information sources that can

be useful to emergency managers.
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Contingency and Consequence Management Planning for Year 2000 Conversion 11

2. GETTING CONTROL OF THE PROBLEM —

ASSESSING RISK

The first step in preparing for Y2K emergencies is to assess the

threat. What is the nature of the hazard? What systems are at

risk? How vulnerable are your communities and your emergency

response agencies?

The planning process is similar to the one you use for other

technological emergencies, but Y2K problems do have some

unique features. They may affect:

• Many kinds of systems at the same time

• Many geographical areas — your jurisdiction and others —

at the same time

And though the time of impact is predictable to a certain extent,

it won’t necessarily be at midnight on December 31, 1999.

How Widespread Is the Problem?

To be blunt, the problem is pervasive. Just think of all the things

we do every day that are now affected by computer systems.

These systems can be divided into two types: (1) information

technology (IT) systems and (2) systems that contain embedded

chips. IT systems include computer hardware and software —

from the large computer systems that support large government

agencies to the personal computers on people’s desks. A wide

variety of other devices and products contain embedded

microprocessors (computer chips).

Some examples of IT systems are:

• Payroll systems

• Accounting and receivable systems

• Inventory systems

• Local or area-wide networks

• Management information systems

• Geographic information systems
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12 Contingency and Consequence Management Planning for Year 2000 Conversion

Some examples of systems containing embedded chips are:

• Communications systems

• Traffic control and street light systems

• Building security and fire systems

• Elevators

• Automated heating and cooling systems

• Basic office equipment

• Electrical monitoring and distribution devices used by utility

companies

• Biomedical equipment used in hospitals and nursing homes

These systems expand the scope of the Y2K problem. These

devices and products have become essential, affecting nearly

everything we do. Thousands of electrical and mechanical

devices that we use in our private lives and during normal, dayto-day business are controlled by microprocessors. If these

“invisible computers” fail, the effects could range from

annoyance to disaster.

Many computers also are interconnected. A system may work

fine by itself; but when it communicates with another system, it

may experience Y2K problems.

Your best defense is to become aware of what can happen and

prepare for it. Check the list of Equipment and Systems to Check

for Y2K Problems on the next pages; it will help you start thinking

about your communities’ potential risk.
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Contingency and Consequence Management Planning for Year 2000 Conversion 13

Table 3. Equipment and Systems to Check for Y2K Problems

Note: Read the list in its entirety because some equipment is multidepartmental. The list is not

necessarily comprehensive; jurisdictions may find additional suspect equipment.

Office Equipment

______ telephone systems

______ voice mail/answering

machines

______ facsimile (fax) machines

______ photocopiers

______ printers

______ scanners

______ equipment w/ date stamps

(video equipment, scales,

time clocks)

______ personal computers

______ laptop computers

______ personal digital assistants

(PDAs)/handheld

computers

______ wireless communication

systems (pagers, cellular

phones)

______ mailroom equipment

______ other

Emergency Response:

Police and Fire Operations

______ emergency response

phone and dispatch

systems

______ global positioning systems

(GPS) used to track

vehicles

______ EMT medical equipment

(defibrillator, monitoring

devices, blood analyzer)

______ breathalyzer

______ criminal records systems

______ response vehicles, fire

trucks, ambulances

______ two-way radio systems

______ wireless communication

systems (cellular phones,

pagers)

______ radar systems

______ security systems

(door locks, safes, vaults)

______ motion detectors

______ parking ticket handheld

devices

______ police and fire computeraided dispatch systems

______ surveillance cameras

______ air traffic control systems

______ fuel dispensing systems

(gas pumps)

______ contingent systems

(systems or functions that

are operated by others,

but on which the

jurisdiction depends for

its emergency response

operations)

______ 911 systems

______ public warning systems

______ other

Public Works

______ traffic control systems

______ flood/storm water control

systems

______ electronic scales

______ meters

______ handheld water meter

readers

______ street maintenance

systems

______ geographic information

systems

______ street lighting

______ sprinkler/fountain systems

______ fuel dispensing systems

(gas pumps)

______ maintenance vehicles

______ other

Water and Wastewater

Systems

______ pump controller systems

______ chlorine injection or other

effluent disinfecting

systems (ultraviolet lights)

______ lift station pump

controllers

______ telemetry systems

______ vehicle computer systems

______ equipment computer

systems (mobile

generators, mobile

pumping equipment,

construction equipment,

maintenance and line

cleaning equipment)

______ wastewater line televising

equipment

______ contingent systems or

functions (systems or

functions operated by

others but on which

the jurisdiction depends

for its sewer/wastewater

operations)

______ other

Building Inspections

______ electrical generation and

distribution

______ gas distribution

______ elevators, escalators, lifts

______ building and premises

security systems
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14 Contingency and Consequence Management Planning for Year 2000 Conversion

______ badge access systems

______ emergency systems

(power generators, lights,

HVAC systems)

______ engineering permits

______ engineering assessments

reporting

______ fire control systems

(alarms, sprinkler systems)

______ other

Administration/Finance

______ utility billing systems

______ revenue systems

(tracking of parking tickets,

invoices, assessments,

business licenses)

______ financial accounting

systems

______ purchasing systems

______ payroll

______ tax collections

______ credit cards

Computer Network

Resources

______ routers

______ modems

______ switches

______ file servers

______ disk controllers and drivers

______ backup hardware

and software

______ print servers

______ repeaters

______ uninterruptible power

supplies and software

______ hubs

______ CD-ROM towers

Software

______ operating system software

______ desktop publishing

software

______ graphics software

______ desktop applications

______ optical character reading

(OCR) software

______ virus scanning software

______ desktop utility software

______ custom software (desktop

and network-based)

______ network operating

software

______ network management

software

______ client/server software

______ imaging software

______ other

Nursing Homes and

Hospitals

______ medical equipment

______ clinical records/patient

information

______ accounts payable/

receivable systems

______ HVAC systems

______ electronic billing system

for Medicare and Medicaid

______ food suppliers

______ pharmaceutical suppliers

______ medical supply vendors

______ housekeeping supply

vendors

______ other

Utilities

______ energy control systems

______ power grid systems

______ power plants/stations

______ other

Interfaces

______ banks

______ other governmental

entities

______ automatic payroll

______ billing

______ dispatch

______ other

Service Providers

______ banks

______ ATM machines

______ bonding firms

______ legal firms

______ appraisal companies

______ landfills

______ maintenance companies

______ trash collection companies

______ electric utilities

______ insurance providers

______ telecommunications

companies

______ other

Food Storage and

Distribution

______ refrigerators

______ freezers

______ ice makers

Other

______ railroad switching systems

______ robots

______ satellites

______ library cards

______ other

Source: Adapted from A Year 2000

Action Guide, League of Minnesota

Cities, 1998.
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Contingency and Consequence Management Planning for Year 2000 Conversion 15

How Can I Tell If I Have an Embedded Chip Product?

Check to see if it:

• Has an LED (light-emitting diode) maintenance or

operations panel with menu options

• Stores data for further use

• Has an internal clock

• Has controls for changing functions on the basis of times

or dates

• Communicates with the user or operator, either visually

or with sound

• Displays a time/date

What Can I Do About These Devices?

Conduct an internal inventory to identify all items that may

contain chip technology and all services that depend on them.

Then try to check whether each product is Y2K compliant.

You should request letters certifying Y2K compliance from all of

the applicable vendors. Be sure to insist that they describe the

methods they used to determine compliance. If a vendor/

supplier says its product is not compliant, develop a contingency

plan to either replace the product or to deal with its failure.

When Will the Problem Strike?

Most of the publicity about Y2K points to problems on

January 1, 2000. But that is not the only critical date. Some

experts predict a string of malfunctions throughout 1999 and

2000, rather than a single calamity. Why is this the case? Because

programmers enter dates differently in different systems and

products. Table 4 lists some of the dates that could cause

problems and explains why.
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16 Contingency and Consequence Management Planning for Year 2000 Conversion

As an emergency manager, you also must monitor and respond

to Y2K problems that could occur days or weeks after January 1,

2000. Some incidents might initially seem unimportant, but they

could turn into threats to public safety and health. For example,

a medical facility’s treatment equipment might be working; but if

its payroll system were to be disrupted for very long, the facility

might have to close. Or a power plant in one location might be

operational but have to shut down after a few weeks if Y2K

disruptions elsewhere were to stop fuel shipments.

Publications and web sites devoted to testing systems for Y2K

compliance list other dates that should be included in a

complete system test. See the references listed under

“Resources for Testing Your Systems” in Section 3.

Table 4. Important Dates for Y2K

December 31, 1999 – January 1, 2000 Last day of 1999, first day of 2000

Throughout 1999 One-year look-ahead date

April 9, 1999 May be mistaken for “end of file” code

September 9, 1999 May be mistaken for “end of file” code

February 29, 2000 – March 1, 2000 Uncommon leap year

December 31, 2000 366th day of uncommon leap year

August 22, 1999 Rollover date for GPS systems

July 1, 1999 to October 1, 1999 Start of government fiscal year 2000

(various months)

January 10, 2000 First date in the year 2000 with 7 digits

October 10, 2000 First date in the year 2000 with 8 digits
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Contingency and Consequence Management Planning for Year 2000 Conversion 17

Vulnerability Analysis

Potential disruptions caused by Y2K problems are similar to

other technological emergencies, so you can apply FEMA’s allhazards planning guidance (State and Local Guide 101, Guide for

All-Hazard Emergency Operations Planning, September, 1996) to

Y2K problems as well.

In addition, FEMA 141, Emergency Management Guide for Business

and Industry (October 1993) includes a section on planning for

technological emergencies. You may want to consult the whole

guide. See Section 5 for information about getting a copy.

The initial focus of contingency planning should be on those

systems that you identify as most critical to your agencies’

operations and to your communities. Vulnerability analysis will

help you identify these systems. Here are some excerpts on

vulnerability analysis from FEMA 141 to help you prepare.

Use the Vulnerability Analysis Chart (Table 5) to assess the

probability and potential impact of Y2K emergencies. The

process entails identifying potential problems, assigning

probabilities, estimating impacts, and assessing resources, using

a numerical system. The lower the score, the better.

Directions for Using the Vulnerability Analysis Chart

❏ List Potential System Failures

In the first column of the chart, list the Y2K failures that could

affect you, such as:

• Safety system failure

• Telecommunications failure

• Computer system failure

• Power failure

• Heating/cooling system failure

• Emergency notification system failure
Y2K

18 Contingency and Consequence Management Planning for Year 2000 Conversion

❏ Estimate Probability

In the Probability column, rate the likelihood of each

emergency’s occurrence. Judging the likelihood of Y2K failures is

difficult in large systems like communications or transportation.

Even the experts disagree. But you don’t have to be highly

precise. Use a simple scale of 1 to 5, with 1 as the lowest

probability and 5 as the highest. This is a subjective

consideration, but it is still useful.

❏ Assess the Potential Human Impact

In your work as an emergency manager, this step is critical.

Analyze the potential impact that each emergency could have

on people, such as the possibility of death or injury. Assign a

rating in the Human Impact column of the Vulnerability Analysis

Chart. Use a 1 to 5 scale, with 1 as the lowest impact and 5 as

the highest. In this area, for example, 1 might equal discomfort,

and 5 a loss of life or limb.

❏ Assess the Potential Property Impact

Consider the potential for property losses and damage. Again,

assign a rating in the Property Impact column, 1 being the

lowest and 5 being the highest. Consider:

• Cost to replace

• Cost for temporary replacement

• Cost to repair

❏ Assess the Potential Business Impact

Assign a rating in the Business Impact column. Again, 1 is the

lowest, and 5 is the highest. Assess the impact of:

• Business interruption

• Employees unable to report to work

• Imposition of penalties or legal costs

• Interruption of critical supplies or services
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 19

❏ Assess Internal and External Resources

Next assess your resources and ability to respond. Consider

each potential emergency from beginning to end and each

resource that would be needed to respond. Assign a number to

your internal and external resources. The lower the number, the

better. Ask yourself:

• Do we have the needed resources and capabilities to respond?

• Will external resources be able to respond to us for this

emergency as quickly as we may need them. Or will they have

other higher priority areas to serve?

If the answers to these two questions are yes, move to the next

assessment. If the answers are no, identify what can be done to

correct the problem. For example, you may need to:

• Develop additional emergency procedures

• Conduct additional training

• Acquire additional equipment

• Establish or modify mutual aid agreements

• Establish agreements with specialized contractors

❏ Add the Columns

Add the numbers for each emergency. The lower the number,

the better. While this is a subjective rating, comparing the

numbers will help you determine planning and resource

priorities.
Y2K

20 Y2KContingency and Consequence Management Planning for Year 2000 Conversion

Table 5. Vulnerability Analysis Chart

Source: FEMA 141 The lower the score the better

High Low

(5) (1)

High Impact Low Impact

(5) (1)

Weak Strong

Resources Resources

(5) (1)

Business

Impact Probability Human Impact Property Impact Internal Resources External Resources Total Type of System Failure

20 Contingency and Consequence Management Planning for Year 2000 Conversion
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 21

3. GETTING CONTROL OF THE PROBLEM —

KEEPING YOUR OWN AGENCY RUNNING

If your emergency response agencies are at risk from Y2K

problems, you need to plan ahead in order to keep operating

if they strike. That’s the only way you’ll be able to help your

communities.

Keep in mind that the Y2K problem could affect both computers

and computer-driven products or systems. It could also affect

many electronic devices that are common in emergency

management. Remember — check all devices and systems that

could be affected by the Y2K problem.

How Will I Know If My Own Systems Are Y2K Compliant?

NOTE: This guide does not give detailed instructions for testing

systems for Y2K compliance. Instructions and tools are available

on many State and commercial web sites. A partial list appears

later in this section.

You cannot test your systems by just setting your computer’s

clock to 11:59 PM, December 31, 1999, and waiting 1 minute to

see what happens. Problems may exist on many different levels,

so you must ensure that all technology levels of your systems

are Y2K compliant. Check with vendors and other experts to

ensure Y2K compliance.

❏ Check Your Hardware

This task should cover both the specific chip architecture and

the machine’s internal clock. Check the web sites or user

support lines of your hardware vendor and your operating

system vendor for Y2K issues. Use either firmware changes from

the hardware vendor or operating system patches.
Y2K

22 Contingency and Consequence Management Planning for Year 2000 Conversion

❏ Check Your Operating System

Even some recent operating systems require upgrades to be

fully Y2K compliant. Check your vendor’s web site or user

support line for Y2K issues.

❏ Check Your Databases and Files

These include all of the files and data used by your applications.

Dates can be stored in any of your databases. Check to ensure

their data management system is Y2K compliant. Also ensure

that any custom date usage is based on 4-digit years or that you

have a clear method for processing 2-digit years stored in

custom date fields.

❏ Check Your Applications and Run-Time Libraries

Applications software runs on your operating system and works

with various databases. Ensure that all applications you use and

their run-time libraries are Y2K compliant. Check your

application vendor’s web site or user support line for Y2K issues.

❏ Check Your Custom Code

Custom applications are either built on top of application

software or use application software components. Even though

the underlying applications are Y2K compliant, the custom code

may not be. Establish guidelines for testing your code to ensure

that it is Y2K compliant. Accept only Y2K-certified applications

from third-party developers.

Resources for Testing Your Systems

Many web sites list testing procedures and have software tools

available for testing your systems. For example, see the following:

http://y2k.state.wi.us/

http://www.usfa.fema.gov/

http://www.nist.gov/
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 23

The web sites of many States also provide information, tools, and

links to other web sites. The information on these sites and

elsewhere is highly technical because the problem is complicated.

You may need the help of an IT expert to solve it.

Where Can I Get Help in Fixing My Systems?

Many of the same sources listed for testing your systems also

have software available for repairing some problems. Hardware

and software vendors’ web sites may have updates that you can

use to fix their particular products.

Many service providers can help fix your systems, but FEMA

cannot endorse specific private firms. You may be able to get

help or advice on private firms from your State’s information

technology staff.

You can also locate resource lists of service providers on the

World Wide Web by doing a keyword search. Try using search

terms such as “Year 2000” or “Y2K.”

Planning for Continuity of Operations

Even if you’ve tried to ensure that all your systems are Y2K

compliant, you may suffer some unexpected failures. So plan

ahead to keep your agency running and able to provide service

in case of system failures.

In this regard, you’re like any other agency or commercial

business. So the guidance that has been written for them is good

for you, too. There’s extensive guidance on operations continuity

planning in the web sites and publications listed in Section 5. To

get you started, here’s a step-by-step process taken from the

General Accounting Office, Year 2000 Computing Crisis: Business

Continuity and Contingency Planning, GAO/AIMD-10.1.19,

August 1998. For a complete copy, see http://www.gao.gov/

special.pubs/bcpguide.pdf

The following steps will help you plan for continuity of

operations.
Y2K

24 Contingency and Consequence Management Planning for Year 2000 Conversion

 Steps for Continuity Planning

Step 1. Initiation

❏ Establish an operations continuity project work group

❏ Develop and document a high-level operations continuity planning strategy

❏ Identify core processes for operations

❏ Define roles and assign responsibilities

❏ Develop a master schedule and milestones

❏ Implement a risk management process and establish a reporting system

❏ Assess existing continuity, contingency, and disaster recovery plans and

capabilities for core operations

❏ Implement quality assurance reviews

Step 2. Operations Impact Analysis

❏ Define and document information requirements, methods, and techniques

to be used in developing the operations continuity plan

❏ Define and document Year 2000 failure scenarios

❏ Perform risk and impact analyses of each core operations process

❏ Assess and document infrastructure risks

❏ Define the minimum acceptable level of outputs and services for each core

operations process

Step 3. Contingency Planning

❏ Assess the cost and benefits of identified alternatives and select the best

contingency strategy for each core operations process

❏ Identify and document contingency plans and implementation modes

❏ Define and document triggers for activating contingency plans

❏ Establish a resumption team for each core operations process

❏ Develop and document a zero day strategy and procedures

Step 4. Testing

❏ Validate your operations continuity strategy

❏ Develop and document contingency test plans

❏ Establish test teams and acquire contingency resources

❏ Prepare for and execute tests

❏ Validate the capability of contingency plans

❏ Rehearse operations resumption teams

❏ Update the continuity plan based on lessons learned and re-test if necessary

❏ Update disaster recovery plans and procedures
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 25

4. GETTING CONTROL OF THE PROBLEM —

YOUR CONSEQUENCE MANAGEMENT PLAN

No matter how well you have assessed the risk of Y2K problems

and addressed them in your own jurisdiction, you need to have

a Y2K Consequence Management Plan. That way, you will be

prepared for what might happen if Year 2000-related problems

actually occur despite efforts to avoid or prevent them. Such a

plan, which deals with the consequences rather than the causes

of a failure, will help you to:

• Reduce the number of decisions to be made during

response and recovery operations

• Provide and restore critical services quickly

• Minimize the impact on public safety and health

• Restore all your jurisdiction’s services in a timely and

cost-effective manner

Where to begin? Often the first step is the most difficult. Here is

a suggested approach. Fill in the blanks with the organizations,

facilities, and resources that apply to you. You probably have done

some of these things already and can fill in many blanks without

doing further research.

As you follow these steps, remember to work with all of your

communities’ critical service providers. Encourage them to take

steps to ensure that all of their critical systems are Y2K compliant.
Y2K

26 Contingency and Consequence Management Planning for Year 2000 Conversion

Gathering Information for Your Plan

Step 1. Identify the Potential Impact on Your Jurisdiction

Imagining the results of these outages can help you start planning for them.

(Also see the Vulnerability Analysis in Section 2.)

Power

Loss of electrical power

______________________________________________________________________________

______________________________________________________________________________

Loss of natural gas

______________________________________________________________________________

______________________________________________________________________________

Communications

Loss of telephones/pagers/radios

______________________________________________________________________________

______________________________________________________________________________

Loss of sirens/EAS

______________________________________________________________________________

______________________________________________________________________________

Water and Sewage

Interruption in water supply

______________________________________________________________________________

______________________________________________________________________________

Problems with sewage service

______________________________________________________________________________

______________________________________________________________________________
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 27

Emergency Services

911 service

______________________________________________________________________________

______________________________________________________________________________

Fire service vehicles and equipment

______________________________________________________________________________

______________________________________________________________________________

Law enforcement vehicles and equipment

______________________________________________________________________________

______________________________________________________________________________

Mutual aid resources

______________________________________________________________________________

______________________________________________________________________________

Emergency Operations Center

______________________________________________________________________________

______________________________________________________________________________

Medical

Ambulance vehicles and equipment

______________________________________________________________________________

______________________________________________________________________________

Hospital systems and equipment

______________________________________________________________________________

______________________________________________________________________________
Y2K

28 Contingency and Consequence Management Planning for Year 2000 Conversion

Nursing homes

______________________________________________________________________________

______________________________________________________________________________

Public Works and Facilities

Street and traffic lights

______________________________________________________________________________

______________________________________________________________________________

Vehicles and equipment

______________________________________________________________________________

______________________________________________________________________________

Airports

______________________________________________________________________________

______________________________________________________________________________

Government buildings

______________________________________________________________________________

______________________________________________________________________________

Correctional facilities

______________________________________________________________________________

______________________________________________________________________________

Schools

______________________________________________________________________________

______________________________________________________________________________
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 29

Step 2. Identify Potential Community Resources

Identify and designate backup resources in the event that primary systems fail.

Generators for backup power for critical facilities

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Alternate methods of communications

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Food supplies

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Shelters that have backup power

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Transportation services (and fuel for them)

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________
Y2K

30 Contingency and Consequence Management Planning for Year 2000 Conversion

Step 3. Promote Interdepartmental Teamwork

Creating a Y2K Consequence Management Plan for a jurisdiction will require

working with a number of departments and agencies. They will each need their

own plans and will need to be aware of the overall, coordinated jurisdictional plan.

Police Department

______________________________________________________________________________

______________________________________________________________________________

Fire Department

______________________________________________________________________________

______________________________________________________________________________

Emergency Medical Services

______________________________________________________________________________

______________________________________________________________________________

Public Works Department

______________________________________________________________________________

______________________________________________________________________________

Building Inspection Department

______________________________________________________________________________

______________________________________________________________________________

Social Services Department

______________________________________________________________________________

______________________________________________________________________________
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 31

Step 4. Work with Other Governmental Units

Infrastructure problems caused by Y2K will cross jurisdictional lines. Emergency

managers will need to coordinate their planning with:

State-level departments

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

County offices

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

City and town offices

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

School district officials

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Red Cross and other non-government organizations

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________
Y2K

32 Contingency and Consequence Management Planning for Year 2000 Conversion

Step 5. Coordinate with Utilities and Other Businesses to Prepare

Gather information on preparedness and backup plans from:

Utility companies (including suppliers of electricity, natural gas, water, telephone,

and other services)

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Manufacturers and vendors of equipment you depend on

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Landlords of buildings that you lease

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Local businesses

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 33

Step 6. Establish Communication with the Public about Y2K

Emergency managers and other local leaders should establish themselves as

reliable sources of information about Y2K and communicate what they are doing

to prepare for Y2K via:

Local newspapers

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Local television stations

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Local radio stations

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Local Chambers of Commerce

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

Community clubs and associations (League of Women Voters, etc.)

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________
Y2K

34 Contingency and Consequence Management Planning for Year 2000 Conversion

Organizing the Y2K Effort

Each jurisdiction should designate a person as the Y2K

Coordinator to lead all efforts. In addition, each jurisdictional

department should appoint someone to assess the Y2K problem

for its area. These individuals will work together to create the

overall Y2K consequence management plan.

To create this plan for your jurisdiction, the Emergency

Management Director or Coordinator (or his/her designated

Y2K Coordinator) must obtain information from all departments

within the jurisdiction. First focus on those systems identified as

critical in the risk assessment process. For each critical system,

evaluate the likelihood of Y2K failure or malfunction and the

types of problems that could result. (See Section 2 for a listing

of Equipment and Systems to Check for Y2K Problems). Once the

potential problem areas have been identified for your

jurisdiction, the departments can develop their own plans.

In addition, members of each organization should also have a

personal contingency plan, so they will be available and ready

to respond if there is an emergency and will not be concerned

about personal matters.

The jurisdiction’s overall Y2K Consequence Management Plan

should cover the following elements:

• Designation of leaders and their responsibilities, including

a Recovery Team Director, a Command Center (or EOC)

Coordinator, and the members of the Recovery Team

• Procedures for activating plans

• Allocation of resources, including personnel, funding,

and equipment

• A Communications Plan for contacting key staff

(other than by telephone)

• Documentation of procedures and instructions

• Designation of a Command Center and alternate facilities
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 35

We Already Have a Comprehensive All-Hazards Plan.

Can’t We Just Use It for Y2K?

You probably know that FEMA advocates a comprehensive approach to

emergency planning in State and Local Guide (SLG) 101, Guide for All-Hazard

Emergency Operations Planning. This approach is still valid for the Y2K

problem; but remember that there are differences between the Y2K problem

and other hazards.

What are they?

• The Y2K problem could affect many local, State, and even international

jurisdictions at the same time, instead of being confined to one locale or

region.

• It could affect many different systems at the same time (power,

transportation, communication, finance, etc.), instead of just one or two

(like a power outage).

• The size of the problem could overtax local resources, and mutual aid

might not be available if neighboring jurisdictions are also affected.

• In addition, State and Federal resources may be overtaxed.

• Some of the resources you usually use could be affected by the Y2K

problem. For example, emergency communication systems could be

inoperable, or school shelters could be without power or heat. Any

resources that depend, directly or indirectly, on computer chip electronics

might be unusable.

Because of these unique features of the problem, you should at least develop

a Y2K hazard-specific attachment to your emergency plan. Consider what

resources might be unavailable, and what alternative provisions you could

make to protect public safety and health for such critical functions as these:

• Emergency services

• Emergency Operations Centers (EOCs)

• 911 systems

• Public warning and information

• Health services

• Communications

• Utility power

• Water and sewage

• Public works and facilities

• Transportation
Y2K

36 Contingency and Consequence Management Planning for Year 2000 Conversion

All plans should contain the information in the checklist below.

❏ Objective of the Plan

Each plan should specify its own objective for responding to

potential problems, maintaining an acceptable level of service,

and minimizing the threat to public safety, health, and critical

infrastructure.

❏ Criteria and Procedures for Activating the Plan

The plan should include the criteria for activating the plan, such

as a predetermined length for downtime or procedures for

handling a problem in a specific area of responsibility. Describe

the steps for activating the plan, such as how to contact needed

employees (including alternate methods to using the commercial

telephone in case service is disrupted). Many emergency

management and other designated jurisdiction personnel are

preparing to be on stand-by or activated in the days leading up

to and following December 31, 1999.

❏ Roles, Responsibilities and Authority

Designate team leaders and members and identify their

responsibilities. Provide alternates for each position in case the

primary designee is unavailable. These should be consistent with

your general emergency response procedures.

❏ Procedures for Operating during or after System Failures

List detailed procedures for operating if systems fail (i.e., who is

to do what and by when). Explain ways to operate equipment

manually or to get around the problem. For several examples

of such procedures, see Table 6.
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 37

❏ Resources Available to Support Emergency Operations

List resources needed and available to implement the plan.

Resources can include personnel, materials, supplies,

communications, and other equipment. They may be different

from those needed during normal operations.

❏ Criteria and Procedures for Returning to Normal

Operations

List the steps for standing down.

❏ Estimated Cost of the Plan

Document the estimated cost of activating and implementing

the plan, keeping in mind that the length and severity of the

problem will affect the final costs.

❏ Testing the Plan

Conduct a hands-on run-through of the plan before it is needed

to see if it works. Refine the plan by incorporating lessons

learned from the drill. Many communities have held such drills

and exercises already. See the web sites listed in Section 5 for

examples. Test, and test again!

❏ Post-Emergency Plan

Schedule a staff debriefing after the plan has been implemented.

Any lessons learned during the response phase should be noted,

and changes to the jurisdiction’s plans should be made accordingly.

After Table 6, you will find an example of a Y2K Consequence

Management Plan, which was prepared by a local Public Works

department.
Y2K

38 Contingency and Consequence Management Planning for Year 2000 Conversion

Services Areas of Backup Systems/

Concern/Impact Contingency Plans

Emergency Services

Security

Power

Table 6. Example Procedures for Operating during or after System Failures

911 Emergency response may be

delayed or prevented

Use alternate phone numbers,

cell phone, radio.

Weather warning and tornado

warning sirens

The system may not activate

when needed or could

produce false alarms

Manually activate, if possible.

Street lights Parking lot and street security

jeopardized; increased risk of

crime and driving hazards

Manually activate, if possible.

Secure additional security

personnel available for escort

service.

Lockups Prison escapes Perform lockdowns manually.

Disable any computerized

lockdown controls.

Automated door locks Entrance/exit from offices, etc. Distribute keys to responsible

personnel. Develop plans for

manual entrance/exit.

Video surveillance Tape dating: wrong dates may

be recorded

Implement manual record

maintenance by security

personnel.

Alarm systems Unnecessary false alarms Disable all but the most critical

systems. Issue memos to

security personnel regarding

potential problems and

appropriate procedures.

Municipal and public utilities

and the power grid

Loss of heating/air

conditioning, lighting,

communications, and other

amenities of daily life

Secure standby generators.

Standby generators Loss of power with the same

results as above

Manually activate standby

generator. Obtain additional

generators and fuel as

necessary.
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 39

Services Areas of Backup Systems/

Concern/Impact Contingency Plans

Communication

Commerce

PBX Loss of internal and external

communication lines

Use radios, pagers, cell phones,

or couriers.

Radio Loss of police patrol

communication

Use cell phones if possible.

Pagers Missed and erroneous pages Use cell phones, if possible;

otherwise, use periodic call-ins

or face-to-face communications.

Cell phones Missed and erroneous calls Use radios or face-to-face

communication.

Written (copiers, fax

machines)

These machines may stop

working

Postpone or use carbon

copies if available.

EDI

(electronic data interchange)

Electronic supplier payments

disrupted, resulting in

shortages of goods and

services

Write checks manually or

otherwise implement preelectronic procedures.

Electronic payroll deposit Employee payments made

through direct deposit may be

late or could fail entirely

Write checks manually or pay

in cash.

Credit card purchases Purchase approval may be

denied; cards could become

unusable

Use manual purchase orders.

Institute blank purchase orders

with local merchants
Y2K

40 Contingency and Consequence Management Planning for Year 2000 Conversion

Services Areas of Backup Systems/

Concern/Impact Contingency Plans

Transportation

Traffic control Traffic lights malfunction Use police overtime, or

auxiliary police force if

available, to manually direct

traffic.

Freeway management systems Highway congestion Use police overtime, send

letters to the public, or place

newspaper ads stressing the

need for greater safety

consciousness.

Trains Railroad crossing warnings fail

(warnings are controlled by

microcomputer)

Send letters to the public or

place newspaper articles

alerting the public to the danger.

Drawbridges Bridge crossing warnings fail or

bridges fail to open and close

Warn land and water traffic;

use police who are working

overtime or auxiliary police to

reroute traffic.

Airports Air traffic control systems

disrupted

Increase traffic intervals; require

use of visual flight rules.

Airports Timed runway lighting systems

disrupted

Disable computer controls;

activate manually if possible.
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 41

Services Areas of Backup Systems/

Concern/Impact Contingency Plans

Basic Necessities

Health Care

Water – Pumping Pumps stop working and soon

distribution pipes are empty

Prepare water trucks for

emergency distribution.

Encourage citizens to have

bottled water handy.

Water – Cleaning Sanitary systems quit Use water trucks.

Water – Well management Not available when needed Use alternate sources of supply.

Emergency food distribution Supermarkets closed because

of power outages, etc.

List locations for assistance.

Prestock essential supplies.

Medical devices and

equipment, operating rooms

Pacemakers, lighting, etc. Probably the best measure is

to ensure that standby

generators are ready. Medical

triage rules should be applied.

Source: Adapted from Keane, Inc.
Y2K

42 Contingency and Consequence Management Planning for Year 2000 Conversion

 SAMPLE PLAN

 Contingency Plan for Wastewater Collection System

The jurisdiction’s Wastewater Collection System consists of 3 lift stations, light

alarm systems, and gravity sewer lines.

1. Objective of the plan

To provide normal level of service.

2. Criteria and procedures for activating the plan

To ensure that electricity flows out to one or more lift stations, the Public Works

Director will assign employees to monitor the system beginning on December

31, 1999, through a night shift into January 1, 2000, on an emergency basis until

it is clear that there are no problems with the operation of the system. If an

employee discovers a problem, then he or she will notify the Public Works

Director (or designee) via (describe primary and backup communication

methods for contacting the Director) and describe the nature of the problem.

If needed, the Director will notify other employees to report for duty and will

assign them emergency responsibilities.

3. Roles, responsibilities, and authority

The Public Works Director will be in charge of activating and implementing this

contingency plan. The Director will assign workers in the department as needed.

If additional personnel are needed, the Director will have the authority to use

personnel from the Parks Maintenance Dept. If the Public Works Director is

unavailable, the Sewer Lead Worker will assume the responsibilities of the

Director as outlined in this plan.
Y2K

Contingency and Consequence Management Planning for Year 2000 Conversion 43

4. Procedures for operating during or after system failures

• Portable Generators — The jurisdiction has two portable generators that

can operate the lift station, and all three lift stations have a generator

receptacle so that they can be run by a portable generator. Based on the

amount of storage in the lines and the wetwell in the vicinity of the lift

stations, the Public Works Director will assign employees to transport and

hook up the portable generators to the lift stations. If all three lift stations

are not working, the Director will establish a schedule to rotate the two

generators among the three lift stations. If necessary, the Public Works

Director will try to obtain an additional generator through mutual aid

agreement or rental.

• Vacuum Truck — If the generators are not able to handle the flow, the

jurisdiction can pump sewage out of the lift stations with the vacuum truck.

The Public Works Director will assign employees to use this truck to pump

sewage.

• Tanker Truck — The jurisdiction also may be able to pump the sewage into

its tanker truck. The Public Works Director will assign employees to pump

sewage using this truck.

• Lift Station Bypass — Because of the topography in the vicinity of lift station

#1, we would be able to establish a line to bypass that lift station. If needed,

the Public Works Director will contact a contractor to construct this line.

This is not an option for lift stations #2 and #3 because the distance to a

manhole, which discharges into a gravity line, is too great.

• Temporary Overflows — To avoid sewer backups in citizens’ houses if the

above options do not handle overflow, the jurisdiction may have to establish

temporary overflows from the lift stations. The jurisdiction will work with

the State Environmental Protection Agency to try to minimize the use and

impact of this option.

• Water restrictions — If a jurisdiction-wide or regional power outage lasts

more than 24 hours, the jurisdiction will consider restricting community

water usage to reduce flow of wastewater through the system.
Y2K

44 Contingency and Consequence Management Planning for Year 2000 Conversion

5. Resources available to support emergency operations

• Personnel — 3 Public Works employees for most operations. If necessary, an

additional 3 employees from the Parks Maintenance Department.

• Equipment — 2 portable generators and trucks to transport them; 1 vacuum

truck; 1 tanker truck with pump; pipe or hose for lift station bypasses.

6. Criteria and procedures for returning to normal operations

• Restore electricity to all three lift stations.

• Disconnect any portable generators that have been connected to the lift stations.

• Remove bypass for lift station if that was constructed.

• Clean up any temporary overflows.

7. Estimated cost of the plan

• Personnel including regular, overtime, and holiday pay for three workers for

a five-day period: $2,000–$3,000.

• Generator rental at $100/day, 5 days: $500. (Purchase of generator–$30,000)

• Construction of bypass–$500.

8. Testing the plan

Prior to December 31, 1999, the Public Works Department will provide training to

its employees and the Parks Department employees on how to implement this plan.

9. Post-emergency plan

The Public Works Director will meet with the personnel who assisted in

implementing the plan to determine how it worked. If necessary, changes will be

made to the plan for future emergencies.

Prepared by: Date:

Department/Agency Head: Date:

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SIGNATURE
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Contingency and Consequence Management Planning for Year 2000 Conversion 45

Resources for Helping the Public Prepare for Y2K

The general public has understandable concerns regarding Y2K.

You can help them prepare for Y2K by being a credible source of

information. Tell them about the potential effects of Y2K in their

area, and about prudent actions they can take to be prepared.

The President’s Council on Year 2000 Conversion has

expanded its web site http://www.y2k.gov/, creating a separate

area devoted to consumer issues and the Y2K problem. The

information in this part of the site is similar to that described in

the next paragraph, but users can also link directly to the

agencies, companies, and industry groups that are the primary

sources for much of the existing information on Y2K efforts.

Individuals can also call the number 1-888-USA-4-Y2K to

get information about power, telephones, banking, government

programs, household products, and other common topics. This

information comes from primary sources — government

agencies, companies, or industry groups. Information specialists,

supported by researchers, are available to provide additional

information to callers. Pre-recorded information is available

seven days a week, 24 hours a day. Information specialists staff

the line from 9 AM to 8PM (EST), Monday through Friday. The

service also has “FAX-back” capability.

The Federal Trade Commission (FTC) also has Y2K publications

for consumers on consumer electronic products, home office

equipment, and personal finances. These publications are

available on-line at http://www.ftc.gov and through FTC’s

Consumer Response Center at 202-FTC-HELP. It also has a

Business Fact Sheet urging businesses to disclose the Y2K status

of their products to their consumers.

Assistance is also available for small businesses and service

providers. The Small Business Administration (SBA), the National

Institute for Standards and Technology’s Manufacturing Extension

Program, and the President’s Council on Year 2000 Conversion

have compiled many Y2K tools for small businesses and critical

service providers. Information about these tools can be found

on their web sites: http://www.sba.gov/, http://www.mep.nist.gov/,

and http://www.Y2K.gov/. Small- and medium-sized businesses

can also call 1-800-U-ASK-SBA for information on Y2K.
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46 Contingency and Consequence Management Planning for Year 2000 Conversion

In addition, almost every State has several web pages devoted

to the Y2K problem. These pages generally provide State-specific

information, additional planning guidance, tools and procedures,

and links to other Y2K-related web sites.

You probably will be asked how the public should prepare for

the possible effects of Y2K. Advise them to prepare for limited

interruptions in critical services, like those caused by winter

storms. To help them prepare, you can distribute brochures with

basic information. To get these camera-ready brochures free

from FEMA and the American Red Cross, call 1-800-480-2520,

or write to: FEMA, PO Box 70274, Washington, D.C. 20024 for

copies of the following documents:

• Your Family Disaster Plan —

How to prepare for any type of disaster

• Your Family Disaster Supplies Kit —

A checklist of emergency supplies

• Emergency Preparedness Checklist —

An action checklist on disaster preparedness

• Helping Children Cope with Disaster —

How to help children deal with the stress of disaster

All four documents are available in Spanish. You can find these

helpful documents and others on-line (see Section 5). Also

check the American Red Cross web site listed in Section 5 for

specific information about preparing for Y2K. These preparations

should include:

• Checking with manufacturers of any essential computercontrolled equipment in the home

• Preparing supply kits for family disasters

• Checking home smoke alarms and buying extra batteries

• Keeping a battery-operated radio or television available to

be able to receive emergency television
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Contingency and Consequence Management Planning for Year 2000 Conversion 47

5. NEXT STEPS

If you follow the guidance in the preceding sections, you will

make a good start on getting control of the Y2K problem. You

will participate in:

• Awareness education

• Operations and consequence management planning for your

agencies and communities

• Updating your emergency operations plan for Y2K actions

• Ensuring that a communications plan links local and State

organizations

• Establishing operating guidance for your emergency

operations centers before and after the transition date

• Coordinating between local and State public information

offices on a media plan for your jurisdiction

Developing an Incident Management Plan

The preceding sections will help you to:

• Assess the risk of Y2K problems in your agencies and

communities

• Plan for continuity of operations if Y2K problems occur

• Plan to manage the safety and health consequences of Y2K

problems

One more planning step is left — developing an Incident

Management Plan. This plan will help you respond effectively at

the time of a Y2K disruption. Such planning is beyond the scope

of this Guide, though portions of your Consequence

Management Plan will carry over to an Incident Management

Plan. If a system fails, you may be unable to determine

immediately whether it is due to Y2K or another cause. You will

need an IT professional either way, but should try to determine

the cause as part of your Incident Management Plan.

The National Emergency Management Association (NEMA) is

preparing more detailed guidance on incident management

planning. Check the NEMA web site, listed later in this section,

for more information.
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48 Contingency and Consequence Management Planning for Year 2000 Conversion

Obtaining Additional Information

As discussed earlier, the first, best place to look is on your own

State’s web site. Virtually every State has several web pages

devoted to the Y2K problem. They generally provide Statespecific information, additional planning guidance, tools and

procedures, and links to other Y2K-related web sites.

In addition, many of the FEMA documents cited in this guide are

available in its on-line library. Go to http://www.fema.gov, follow

the link to the Library, and then go to the Preparedness, Training,

and Exercises Room. You can also order documents from

FEMA’s Printing and Publication Branch, PO Box 2012, Jessup,

MD 20794-2012. Phone: 1-800-480-2520. Fax: 301-362-5335.

Types of Resources Available

A wealth of information is available from a variety of sources on

the Y2K problem. These sources include:

• Newspaper articles

• Magazine articles

• Technical publications

• Computer manufacturers

• Software manufacturers

• Vendors

• Libraries

• Bookstores

• Consultants

• Private industry and businesses

• Television and radio features

• Federal, State, and local government agencies

and departments
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Contingency and Consequence Management Planning for Year 2000 Conversion 49

The easiest and quickest way to obtain a wide range of current

Y2K information is by examining the many Internet web sites

dedicated to this issue. By looking at the World Wide Web, you

can discover the nature and magnitude of Y2K problems, see

what others are doing to solve these problems, obtain

contingency planning information from organizations and

governments, and get examples of approaches you may wish to

consider adopting.

The following list of representative web sites can help you get

started. This list is a pathway to web sites that contain specific

information and can lead you to other sources of useful

information. The addresses of these sites have been reduced to

the minimum number of characters needed to get you to the

site. Once there, you can follow links to obtain more detailed

information within and outside of the site.

Selected Web Site Listings

http://www.y2k.gov/

The President’s Council on Year 2000 Conversion — provides

status reports and information for consumers on how the Y2K

problem may, or may not, affect their daily lives. For links to

many sites dedicated to fixing systems, select “Text” or

“Graphics,” select “Becoming Y2K Compliant,” then select “Tool

Kit: Understanding Your Organization’s Y2K Challenge.”

http://www.fema.gov/

FEMA Year 2000 Issues — FEMA provides information and web

links to additional information on emergency service, and

emergency response, preparedness and contingency planning.

http://www.itpolicy.gsa.gov/

U.S. Government’s Office of Information Technology — provides

links to Y2K directories and is especially useful to municipalities that

want to access a variety of State and local Y2K information sites.

http://www.usfa.fema.gov/

The National Fire Data Center — answers some frequently

asked questions (FAQs) and lists Y2K web sites of importance

to emergency managers.
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50 Contingency and Consequence Management Planning for Year 2000 Conversion

http://www.nstl.com/

The National Software Testing Lab — provides shareware to

test computers for Y2K compliance.

http://www.redcross.org/

The American Red Cross — answers some FAQs and provides

individuals with a checklist of actions to follow for preparedness.

http://www.senate.gov/~y2k/

The U.S. Senate Special Committee on the Year 2000 Technology

Problem — provides links to governmental agencies.

http://www.gao.gov/

The General Accounting Office’s Year 2000 Computing Crisis: An

Assessment Guide — provides help in developing a Y2K

compliance project checklist. Check under “Special Publications.”

http://www.year2000.com/

Year 2000 Information Center — provides a forum for

exchanging information and possible solutions to Y2K problems.

http://www.dps.state.mn.us/

Minnesota’s Y2K and Emergency Management Information for

Community Preparedness — a guidebook that deals with the

technical mitigation and consequence management aspects of

the Y2K problem.

http://www.dir.state.tx.us/y2k/

Texas’s Guidebook 2000, About Time: Managing the Y2K Problem in

Local Government — a reference point for cities, counties, and

other subdivisions to address Y2K problems.

http://www.irm.state.ny.us/

New York State’s Guide to Solving Year 2000 Problems in NYS

Local Government — helps local communities identify and

develop plans to address the Y2K problem; can be downloaded.

http://www.co.mo.md.us/year2000/

Montgomery County, Maryland’s Contingency Plan Guidelines —

deals with continuing mission-critical government and business

services that could be affected by the Y2K problem.
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Contingency and Consequence Management Planning for Year 2000 Conversion 51

http://www.mspemd.org/

Michigan’s Maintaining Essential Services in the New Millennium —

an assessment tool with an extensive list of systems that could

contain embedded chips.

http://nemaweb.media3.net/

National Emergency Management Association — contains

position papers on Y2K for State and local emergency managers.

http://www.iaem.com/

International Association of Emergency Managers (IAEM) —

January 1999 issue of IAEM Bulletin focusing on Y2K.

http://www.mitre.org/

Mitre Corporation — an extensive list of critical dates and

information for Y2K testing.

http://www.pa2k.org/

The Commonwealth of Pennsylvania and Government of

Canada — Guidebook for Local Governments.

http://www.lmnc.org/

League of Minnesota Cities — A Year 2000 Action Guide.

http://www.mwcog.org/

Metropolitan Washington Council of Governments —

Year 2000 Best Practices Manual. Look under “Year 2000 Initiative.”

http://y2k.state.fl.us/

State of Florida Year 2000 Task Force — Year 2000 Remediation

Checklist. Look under “Tools & Training.”

http://y2k.state.ks.us/

State of Kansas, Department of Administration, Division of

Information Systems and Communications — Outreach to the

New Millennium.
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52 Contingency and Consequence Management Planning for Year 2000 Conversion

Additional Contacts

The following names and phone numbers are FEMA Regional

Y2K points of contact for emergency managers.

Region I Dan McElhinney (617) 223-9567

Region II Robert F. Jones (212) 225-7018

Region III Lora Werner (215) 931-5724

Region IV Shelley Boone (912) 225-4572

Region V Alyce O. Williams (312) 408-5522

Lawrence L. Bailey (312) 408-5582

Region VI Sherry Wainwright (817) 898-5152

Region VII Jim Donley (816) 283-7010

Region VIII J. Scott Logan (303) 235-4864

Region IX PT&E Division (415) 923-7220

Region X Kathy J. Burke (425) 487-4603