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HomeMy Public PortalAboutTBP 1999-08-18• TOWN OF ERASER "Icebox of the Nation" P.O. Box 120 / 153 Fraser Avenue 4 0 Fraser, Colorado 80442 4 (970) 726-5491 FAX Une: (970) 726-5518 TOWN BOARD AGENDA REGULAR MEETING August 18,1999, 7:30 p.m. 1. Roll Call ~ . 2. Approval of 8/4/99 minutes ~ - 3. Open Forum _ - - ~ , , ~ a) _ Bill Falkenburg, the Snowy Owl Park donation ~, 4. Public Hearings ' . ~ . 5. , Action Items • - : ~- ~ . • a) .The Byers Peak Restaurant, ,liquor license . - 6. _ Discussion Items . . a) General Budget b) Why Y2K? c) Sheriff's contract . ;. ' d) Town of Winter Park, snow storage 7. Staff Choice 8. Board Choice Upcoming Meetings August 25th: Planning Ca,~....~~:...ssion regular meeting September 1st: Town Board regular meeting September 8th: . Transportation Advisory Committee, 6:00 p.m. Granby EMS building September 15th: Town Board regular meeting September 22nd: Planning Commission regulax meeting September 29th: Town Board budget workshop • ýÿ • TOWN OF ERASER vF "Icebox of the Nation" " F P.O. Box 120 / 153 Fraser Avenue Fraser, Colorado 80442 (970) 726-5491 FAX Line: (970) 726-5516 •.. Manager's Briefing: August 16,1999 Jim Tucker is back! Bill Falkenburg will be at Wednesday's meeting to discuss specifics regarding the Falkenburg Family's donation of the "Snowy Owl Park" which is adjacent to the Fraser River Trail. The only action item we have scheduled is a liquor liaerise for the new Byers Peak;Restaurant. Wednesday night's agenda is dominated by discussion items and Nat Havens. first official ~ . ~: _~ ~:: presentation in front of the Board! ..Nat will lead us through discussions about general budgeting principles and preparations for the potential year 200Q computer glitch. There is a lot of information about each topic in your packet -. ~~ - . ;~ We'll then discuss a potential.change in our Sherifi's c.,~~l.act which involves ownership of.: ~ ,: vehicles. Currently, the Town purchases a vehicle for use by the Sherii~ s Department, we pay for all insurance costs for the vehicle, the Sherifi'pays for all general op~.~a~ons and maintenance ~= expenses, and after its useful life as a patrol vehicle, the Department gives us back the vehicle. Under the new proposal, the vehicle would still be purchased bythe Town, but would be insured and maintained by the Sherifi?s Department. At the end of the vehicle's useful life as a patrol vehicle, the Department would deed the vehicle back to the Town. I prefer the proposed system as it removes a layer of public exposure in the event of an accident, as well as the Town's need to pay for costs for repairs when the vehicles are involved in accidents. Additionally, our insurance rates will drop slightly by not covering a police vehicle. Finally, the Town of Winter Park has asked to us to partner with them on the construction of a snow melt facility. In the interim, they would like to corninue using the land owned by Grrand County Water & Sanitation District as a snow storage location. See you Wednesday at 7:30! Did I mention that Tim is back? • ýÿ TOWN BOARD • AUGUST 4,1999 The regular meeting of the Town Board was called to order at 7:30 p.m. Board present were Mayor Johnston, Klancke, Swatzell, Soles, Sanders and Rantz. Staff present were Reid, Trotter and Winter. Sanders made a motion approving the minutes of the 7/7, and 7/21 meetings, 2nd Soles, carried. CHAMBER Lr YrATE Catherine Ross gave the Chamber update. Ross discussed moving the 4th of July Block party to the ballfields. Boazd gave approval for this. At, i iON i ~ r.MS Transfer of lease assignment for M.P. Water to Maryvale Village LLC Resolution 8-1-99 Reid reviewed the transfer of the lease for M.P. Water Conservancy water to the new owners of the Maryvale Property. Buz Koelbel, one of the new owners, introduced himself and members of his staffthat will be working on development of the property. • Reid advised the Boazd that all of the information that the Town requested has been submitted. The town's legal staff has reviewed all of the information and recommends approving the transfer of the lease. Swatzell made a motion to approve Resolution No. 8- 1-99, transfer of the M.P. Water lease to the new owners, Maryvale Village LLC., 2nd Soles, carried. Ski Broker apartment development plat. Trotter reviewed the Ski Broker apartment development plat. Fees and improvements agreement remain to be done. Jones was present to request a waiver of school and park fees. The apartments that aze being developed are above an existing business structure that he pays high property tax on and has for some years, it is not a vacant parcel. After discussion, Klancke made a motion to approve the Ski Broker apartment development plat with the following conditions: 1. Plat fees paid. School fees paid. 2. Landscape area on the ConAm side of property and bring the entire landscaping to 15% as required. 3. Enter into an Improvements agreement for parking and landscaping. 4. Park fees are waived for this development. Motion 2nd by Swatzell, carried. • ýÿ • Sharkey's parking lease Reid reviewed the proposed lease that will be presented to Sharkey's for signature. Board provided direction to pdroceed with the lease. Chamber MOU Reid discussed elements of an MOU with the Chamber. ALCO SIGN VARIANCE Reid reported that ALCO will be making the sign letter at 5X6. Swatzell made a motion to grant the sign variance to allow 124 Sq. Ft. for the ALCO store in Fraser, 2nd Sanders, carried. DISCUSSION i i ~.MS Affordable Housing regulations Board commented on various regulations that could be adopted from review of information received in the packet as well as discussion by Reid and Catherine Ross on comments and input that was made from the Town of Winter Park Board meeting. • Safeway Stoplight Board received 3 letter from the Town Attorney, Town Engineer and the Safeway engineer regarding the stoplight. Consensus of the Board was to allow the light to flash during the night time hours and function as a full signalized intersection at other times. Street sweeper Reid discussed the bid for a street sweeper. Woods recommends purchase of the machine. Rantz made a motion to allow purchase of this machine for a purchase price of $32,000, not more than $2000.00 towards repair, but asked if Reid would call the city of Aspen first on a machine that he and Reid had seen earlier in the summer to see if it were for sale as yet, 2nd Clayton, carried. Swatzell made a motion to authorize the Town Clerk to grant a temporary liquor license to Finnegan's if they make a request for a transfer of ownership license, 2nd Rantz, carried. Comment was made concerning the Bridge on County Road 8. No further business, meeting adjourned at 10:30 p.m. • • TOWN OF ERASER "Icebox of the Nation" P.O. Box i 20 / 153 Fraser Avenue Fraser, Colorado 80442 (970) 726-5491 FAX Line: (970) 726-5518 To: Mayor Jeff Johnston and oard of Trustees of the Town of Fraser From: Nat Havens ~ , Date: 18 August 1999 Topic: Budgeting 101 - CC: Chuck Reid, Town Manager It is not my intention to overwhelm you with information on budgeting -however I have enclosed a lot of information on the topic. You will be relieved to know, that it will. be my focus to work through this material and apply the concepts con#ained within, over the next twelve to eighteen. months. The budget document is the toolrnstrument which I will be basing aN of my data comparisons, recommendations and managerial feedback upon in the future. From the financiaC aspect I will be working to improve our current status in regards to t<he information resources the Board and staff will receive -and this will involve making changes to the way our accounting system is currently operating and all the way up to the budget .itself.., It is my goal. to also assist. the Board. and staff in formulating a five year budget, at present we operate, with a single year budget process; which, in my estimat- ion, allows for little in the way of community direction by the_ Board. The single year budget process really allows the Board to only approve/examine the operational expenses of the Town and does little to-effect future change and enhancement of our community. It is the long range planning and subsequent budgeting which I feel should be the real- heart of the Boards' focus. It wilt be where your visions for our Town will be developed and funded`. f look forward to discussing the enclosed documents with you -perhaps. we will • breeze through the work papers on the budgeting seminar l attended in Aprii? 4 SUMMARY OF LOCAL GOVERNMENT LEGAL FORMAT, PROCESS AND LIIVu ~ REQUIREMENTS (All references are the Co{orado Revised Statutes ]C.R.S.] unless noted) • KEY WORDS: Spending Agency Appropriation Fund Balance Limits A. PROCESS 1. Appoint a Person to prepaze the budget and submit it to the governing body. [29-1-104] 2. Submit Agency Budgets. The governing body must determine a date by which spending agencies aze required to submit expenditure and revenue figures for the three years required in the budget format (#11, below). [29-1-105] 3. Draft Budget Required no later than October 15, submitted to the governing body. [29- 1-105] 4. Notice. Upon receipt of the draft budget, the governing body shall publish notice of a. The date and time of the budget hearing, b. The place at which the budget is available for inspection, c. The availability of objections by any elector. [29-1-106(1)] • • 5. Objections to the budget may be filed by any elector prior to its adoption. [29-1-107] 6. A Hearing must be held to consider adoption of the budget. [29-1-108(1)] 7. Budget Adoption must occur before any mill levy is certified, or, if no property tax is being levied, prior to December 31. [29-1-108(2) and (4)] 8. Appropriation must be made before any mill levy is certified, or, if not property tax is levied, by December 31 of the cu..~ut year [29-1-108(4)], and shall be made by fund or spending agency, as determined by the governing body. [29-1-10$(2)] 9. Filing of the Budget with the Division of Loca] Government is required before January 30, including home rule cities, cities and counties and towns . [29-1-113] 10. Changes to the Budget after adoption may be made by a. Transfer, if funds must be expended in excess of appropriated amounts [29-1- 109(1)(a)], b. Supplemental Budget and Appropriation if unanticipated revenue, other than property tax is received after the budget is adopted [29-1-109(1)(b)], or c. Revision of Appropriation, if revenues are lower than anticipated [29-1- 109(1)(c) 11. Records Must Be Kept showing amounts authorized by appropriation, compazed to expenditures and any unexpended appropriated amounts in each spending agency. DLG Budget Workshop 1999 B. FORMAT 12. A Written Budget Message must describe: the important features of the budget, a • statement of the basis of accounting used in the budget (cash, accrual or encumbrance [29-1- 102(2)]), and a description of the services to be delivered during the budget yeaz. [29-1- 103 (1)(e)] 13. Three Years' Comparable Data must be shown in the budget: prior fiscal year's actual figures, estimated figures through the end of the current fiscal yeaz, and proposed budget yeaz's data. [29-1-105] 14. Estimated Beginaiag and Ending Fund Balances must be shown. [29-1-103(1)(c)] Fund Balance is defined as ".,. the balance of total resources available for subsequent yeazs' budgets..." [29-1-102(11] 15. Proposed Expenditures must be shown for administration, operations, maintenance, debt service, and capital projects proposed to be undertaken or executed during the year. 16. Expenditures and Revenues must be described with "...explanatory schedules or statements classifying the objects and revenues by source." [29-1-103(1)(f)] 17. Lease-Purchase Agreement Supplemental Schedule. The adopted budget must separately set forth the total amount to be expended during the budget yeaz for payment • obligations under all lease-purchase agreements for real property and all other property as well as the total maximum payment liability under the agreements, and all optional renewal terms. [29-1-103(3)9d)] C. LIMITS 18. No DeScit Spending. "No budget shall ... provide for expenditures in excess of available revenues and beginning fund balances." [29-1-103(2)] 19. Limit on Appropriation. Amounts appropriated shall not exceed the expenditures specified in the budget. [29-1-108(2)] 20. Limit on Expenditures. No expenditure, or contract to expend money, can be made in excess of the amounts appropriated. [29-1-110(1)] 21. Fiscal Year Spending cannot increase by more than "inflation" plus "local growth: ' [Art. X, Sec. 20(7)(b), Colo. Const.] 22. Property Tax Revenue is limited by: a. The statutory "5.5%" limit [29-1-301] b. The TABOR property tax revenue limit [Art. X, Sec. 20(7)(c), Colo. • Const.] c. The TABOR mill levy limit [Art. X, Sec. 20(4}(a), Colo. Const.] DLG Budget Workshop 1999 Local government budget calendar This calendaz lists the deadlines for the budget process '~ the certification of levies. Some deadlines are not statu- tory, but reflect good budgeting practices. For details on the applicable statutes listed below, refer to the Colorado Re- vised Statutes. NOTE: Title 32 Special Districts, see chapter eight for additional calendaz deadlines. DATE EVENT Jan. l Fiscal yeaz start; begin planning for the budget of the next year. Jan. 10 Deadline for assessor to deliver tax warrant to county treasurer. (39-5-129, C.R.S.) Jan. 30 A certified copy of the adopted budget must be filed with the Division of Local Government (DLG) no later than 30 days following the start of the fiscal year (Jan. 30). (29-1-113 (1)(3), C.R.S.). If a budget is not filed, revenues col lected by the county treasurer can be withheld at DLG's request. Feb. 15 DLG sends notification of not having received a budget. Request sent to county treasurer to withhold tax revenues until a certified copy of budget is received by the DLG. ~ar. l U.S. Bureau of Labor & Statistics releases Consumer Price Index for the DenverBoulder area. The percentage range in this figure is to be used with "local growth" to calculate "fiscal yeaz spending° and property tax revenue limitations. (Article X, Sec. 20, Colo. Const.) Mar. 31 Deadline for qualifying entities to request exemption from audit from the State Auditor. Contact Local Government Audit Division, State Auditors Office, (303) 866-2051. (29-1- 604 (3), C.R.S.) June 30 Deadline for auditor to submit audit report to local government governing board. (29-1-606) (1)(a), C.R.S.) July 31 • Deadline for submitting annual audit report to State Auditor. (29-1-606 (3), C.R.S.) • Deadline for request of extension of audit. (29-1-606 (4), C.R.S. • PENALTY: If an audit is required but not filed, the county treasurer may be ordered to withhold the District's property tax revenues. ~ug. 25 • Assessors must submit abstract of assessments reflecting assessed values of property in the county by class and subclass to the Division of Property Taxation. (39-2-115, C.R.S.) The assessors must certify to all taxing entities and to the Division of Local Government the total new assessed valuation and the other amounts needed to compute the statutory property tax revenue limit. (39-5-121, C.R.S.) • Upon receipt of Certification of Valuation, if applicable, submit certification of impact from increase in mining production, and/or previously exempt federal property which has become taxable; and/or apply for exclusion from assessed valuation new primary oil and gas production from land leaseholds, using DLG forms 52, 52A and 52B. Oct. 15 Budget Officer must submit proposed budget to the governing board. (29-1-106 (1), C.R.S.) Governing board must publish "Notice of Budget" upon receiving proposed budget. (29- 1-106 (1), C.R.S.) Dec. 10 Changes in assessed valuation made by the assessors will be made only once by a single notification to the county commissioners or other body authorized by law to levy property tax, and to the DLG. (39-1-111 (5), C.R.S.) Dec. 15 Deadline for certification of mill levy to county commissioners. Local governments levying a property tax must adopt their budgets and make appropriations before certifying the levy to the county. If the budget is not adopted by certification deadline, only 90 percent of the amounts appropriated for operating and maintenance expenses in the last appropriating ordinance or resolution is deemed aYr•••r•:ate. (29-1-108 (2) and (3), C.R.S.) Dec. 22 Deadline for county commissioners to levy taxes and to certify the levies to the assessor. (39-1-111 (1), C.R.S.) Dec. 31 Local governments not levying a property tax must adopt budget on or before this date. The governing body must enact a resolution or ordinance to appropriate funds for ensuing fiscal year. A local government which fails to appropriate by this date is restricted to 90 percent of its prior year's appropriation for operating and maintenance expenses for the budget year. (29-1-108 (4), C.R.S.). 6 CML Newsletter July 16, 1999 ýÿ • Budget Review Class A~~ri= 29, .999 Leanne ~mm • • PART I Roles & Purposes of Government Economic Functions of Government • • Private Sector are tenable to perform -Stabilization 6t Growth - Distribution -wealth Bt income -have always subsidized areas of poverty - Allocation of resources - provide i. ~ ,~ & services that cannot be provided by private sector Characteristics of Public Goods • Nort~rr. ,.~r.:ability -provider does not .~:,,.:,:ve all returns from purchasers • 'Two elements • N., ,, r~.,:. lion -can't be used up by one , ., .~ . . • Nonexctusioa - one person using does not eadude atlas from using • Purely public goods have both characteristics -Defense • ýÿ • Decision Making Process of Allocating Resources • Ultimately the responsibility of the electorate - Individuals are best judges of their own well- being - Welfare of community depends on welfare of individual citizens - Pareto Criterion -the community as a whole is better off if one citizeat benefits from a policy decision and no others are harmed Externalities • Government may need to point out the externalities • BeneSts not enjoyed exclusively by the user • Costs not incurred exclusively by the user - Public Education -Fire Protection Levels of Government • Federal - urilimited fiscal powers • Defame • Fartei~t At~eits • Pritrting of Monet' • Overseeing lat.,.,.:.. C.....,,... • State -broad fiscal powers • Public Good9 8 ;' _. ' ..., na pwided et Fed Level • Local -limited fiscal powers • Public Goods & Services delegarted m err na provided by starts • • PART II Budget Process • Definition: - Budgeting is the process of allocating scarce resources to determine the goods and services that are to be provided. The Executive and Legislative Branches make the spending & revenue decisions • • Spending Side -asks the questions • who Bmetiffi • whet willbe,,.. ~:.1ed • How wID it be pmvidod • Revenue Side -asks the questions • ~~ • who will shale the t ,. ,:.. Budgeting Links Four Functions and Allows for Conflict Resolution • Policy Development • Financial Planning • ServicelQperations Planning . • Communications ýÿ L • Policy Development • The budget communicates the goals. objectives & strategies of the legislative & executive branches - rationalizes allocation of resources - way to implement change - way to purpose new fiscal &non-fiscal issues -political strategy - r.....yote agendas, Values, vision & direction to bureaucracy 8c citizens Financial Planning • MUST BAI.AN(:E REVENUE & E~ENDIT[JRES • .,,.~.. m of fm~dsi eaoditim rt and ofcm+mt At and ofpropae•d ~ y~ • 1 ' ~~.~ 9 . ~ , ,i, • ~ ed PriarYaraetiv(h' by ,,.,,, . ~..... ar . . to ...,, . to ~,,.,, ~.d ~.,, h,, • mieipaim ofe~rmts thu world .,Y,:.. dmao m opmadm• • rd~laotldp of ~ budget m .,, . , ::. g bud4et- Le. ~ , ,,. d,. Y e~iWi., ....,,.,i • ~,~ 1B",,.,.,,.,, ..,... budgetedwiddcdse • look •e debt .., }.. o rah to gmenl Rmd . ,... ~,.,, .,. Service/Operations Planning • Amount & how something provided - provides :.~.....ations of levels of service - information on re .,,~~..izations - funding 8t staffmg limiu - new services or programs • Communications • Concise, effective tool that communicates to the public: -changes in priorities -rationale for decisions - vision for the future Four Steps Annually to Budget Preparation • Preparation & Planning • • Int:.~~.::on • Selling/Passage • Execution/Feedbaclc Preparation & Planning • Service planning & evaluation - Gost services & alternative • Develop performance measures - allocate resources to achieve restilts/goals • Demand measures - how much to provide • Develop budget instructions - guidelines on r:..r,~ration, worksheets, • instructions on process ýÿ • Integration • Normally performed by Chief Budget Officer • Integrates agency requests & budgets • Recommend policy changes, cuts or increases to programs Selling/Passage • Performed by Chief Executive • • Deal with politics of choices & decisions • Normally inc....r.._~,tes the budget message into the budget Execution/Feedback • Method of Cu.,~~l -using financial management & monitoring • Implement the budget • Measure the outcome of decisions • Can make mid-course c.,..:..,:ions if necessary • Submission of Budgets • Organizational Unit submits budget request to CFO or Budget Executive based on criteria that has been established i.e. 2% COLA, rollover, etc • CFO submits to Chief Executive, i.e. City Manager, S4r :..:..tendent • Chief Executive submits to Board for review and adoption PART III Budget Methods • Line Item • Program • Performance • Planning/PL~t,.~.--^•-t^.g (PPB) • Zero Based (ZBB) • Management by Objectives Line Item Budget (ObjectJClass) • Listing of amounts to be yr ~.: ~ each object • Exerts the most ,.,,.... „1 over other budget methods • Pros - Easy to develop, aanval, .,.,4 .:! ..~,, . - Includes all revenue ~ . , . ~;twes -Records & identifies traoaactiona - Can ~„, ..,... or allot to ooh the rate of ,~ ....+; aB • Cons - Focuses oa ',.,., ...,..~..1 ages - Does ~ focuv on pert.....,,,... or resuhs ýÿ • Program Budget • Improve the capacity ofdecision-makers to decide on allocation of resources among programs • Line items are aggregated to d:.::.....ine the total cost of programs to tie money to achievement • pros - Focuses oc inputs that determine results - Provides a connection betweec resaaces & products - Allows decision-makers to focus oc big picdue • Cons - More _..~ .-.:ve acd di~wh to .. _:~.~. xt than lice item budgets - Limits top Ievel internal ...._ -1 over litre items - il~v m• •PPt[ M i ~ ..1 ~nann . Perf.,,<u,<ance Budget • Measures performance by taking program budgeting further by measuring demand. workload, efficiency & effectiveness • These measrmes are developed for each .:.va... ~.o...Orral llnlt Or r,.~. ~.a... • Pr'trS - Attelyzes inputs acd meawres outputs - IielPs', .y~., .lDtd'nel ~.~.~~ .,e, ....~. by 11TOVrdmg i~aatass of achiavemmt • `(,pig - E ,...~~:ve mdti,.......~,,,..ingto .....,,.. ux Planning/Programming Budget (PPB) • AtL....r,~.a to institutionalize analysis into the budget process • It is not a method or form of analysis. lint relies on analysis to make decisions. • pros - SuC ~,.;..::,;,.-~ deciaio~ with emlysis • Cons - Amlysis is limited by the people & ability to do the acalysis • -Could drew wrocg conclusiocs ýÿ ~. • Zero Based Budget (ZBB) • Takes the focus off annual in ...:....:...:dl changes • Each ,..~.E,.•,m/service or activity must be assessed each year and that alternative levels of funding are prepared for each program • Sunset legislation accomplishes the same goals Zero Based Budget (ZBB) cont. . i~g - Coffiiders priarides every year and requues analysis of . aC:....,..: ve service delivery ....:.,. ,,. • = ShiRsfocnaswray from i, ...,..::,~I ~a.,, `' , ...,.,, i. .:ea '.sl .l byall.~'~ .,,,:, to ida~fy caab , • Long . - Er..,,'.mto ...~,..,,.,snttcanbe .... .......:.....: to r., r,~,..rhedamto, ,..tbe:,..~ '.~. -Could . .. too much dam to make dG.... ~ ....,.:,,.., _ each year . - Some ; , , u:...,: are ~t ®ood caad'i~Oea far ZBB - is ~,. ~:~., ..,,: :, .gfixed ,,..~. ,,...: of.;. ..;°.s, Management by Objectives • Not in itself a method of budgeting • Requires agencies & d.r,~~ y.,ents to set specific objectives and then reports on the progress of achieving these objectives • A matrix is used to determine the objective versus the amount of money needed to obtain the objective • ýÿ • Cons of All Methods • Difficult to determine the unit cost of services • Most governments focus on the short-term one-year budget with a lack of long-term planning • Programs are funded based on inputs and not results • Too much a....:. ~l over the expenditures allowing for little flexibility • Limits effectiveness and efficiency PART IV Det~~~ining Fiscal Capacity • • Fiscal capacity is the ability far a jurisdiction to raise its own revenue thereby determining the amount that is available to spend. • It is used by different levels of government to develop measures for the distribution of intergovernmental aid. Two Components of Measuring Fiscal Capacity • Economic Base (may lie outside of boundaries) • Tax & Revenue Base ýÿ ~ ~ • Economic base • Employment base • Unemployment rates • Measures of economic activity i.e. sales, building permits, water taps • Population trends • Resident socioeconomic & housing characteristics Tax & Revenue Base • Retail sales base • P~,~r w:~ Tax base • Income tax base •" User charge & fee base Con~t.~aints on Fiscal Capacity Analysis • Legal -Tabor • Political -Voter a,,r... gal of tax increase • Other -Cost of collections • • Part V Evaluating Revenue Sources • Taxing Power of Government - the ability to levy charges that citizens are required to pay • Tax Policy -objective -achieve societal goals by transferring control of resources from one group to another Evaluation of Tax Policy • Accountability i . ~,~ • Efficiency Accountability • Full Disclosure of who benefits & who pays - Maintain internal ,..:.... ~ ]s through annual audits &financial ,.f,.,~~4.g • Enhance Accountability by keeping officials in charge of revenue & expenditures • • Equity • Three standards of measure - Horizontal - Vertical • Regrcasive • F...,,,..wive • F .r..:ooal - Henefit Principal Efficiency • Consideration of the administrative costs of • collection Netmality to the :...~omy - Head tax maybe netiaal - User fee may not be neutral PART VI Projecting Revenue Sources ýÿ • Main Sources of Revenue • Federal -Income Tax • State -Sales Tax • Local -Property Tax -Tax on Wealth - R.ea1 - Personal • Tan®ble vs. Iut~Bble Local Sources of Revenue • Taxes . • Sales of Services (User Fees) • Other non-tax revenue (Interest) • Sale of Debt Intergovernmental Revenue • Grants - categorical • Remiaions on use • Specific purpox - Block Grant • Fewer restrictions • Broad ara of use • Less or no .,, .., :., g requi.........ts • • Intergovernmental Revenue (continued) • Fiscal Assistance or Revenue Sharing - Distributed bated on the origin of revenue - Revenue sharing at the Federal level ended in 1986 • Fees for Services - Intergovernmental A~,..,:....:,_.,~ Four A~r~~oaches to Revenue Forecasting • Qualitative • • Time Series • causal Analysis • Econometric Forecasts Qualitative Analysis • Expert judgment approach using a single or panel of I~......~.~:ers • Primary .method when historical patterns are varied, a new revenue source is being collected, or there are political considerations - Example -new user fee, intergovernmental revenue • ~ ~ S • Time Series Analysis • Trend analysis based on past data • Good for revenue sources that are predictable and do not have lazge variations • Uses single variable i.e. month • Method is easy to explain - Example - r.~-r ;._.,~ tax Causal Analysis • History of relationship between two or • more variables • More .:».r...sive &time-consuming than trend analysis • Can use for what-if scenarios - Example -sates tax with the variables of historical collection and per capi~ income Econometric Forecasts • Complex versions of causal analysis • Uses many variables and u:W....r:.+ to simultaneously forecast & model the relationships • Can be more accurate than other methods for highly variable sources • Used for national, state & local economies • ýÿ • PART VII Estimating Expenditures A~r~oaches to Expenditure Forecasting • Compare forecasts to trend lines • • Cost Analysis -alternative to 1~,,.~:,.,asting - Define the service • Ot..,, ~:~dlay-two people~...~~,IE.d+esat>m~.,.t ~~, • Ftoc'...; ~~ ~ , - only ooe test ec a time • H..., . - steps to . .. F...... aetvia should be similar from one'.. ~,..,.... to :,.. ,... • M..:.~, ,,, .ass 1miR of otnpau -simple & clear, ~....z.~ble to the provider Types of Costs • Direct vs. Indirect • Fixed vs. Variable • Sunk Cost • Marginal Cost • Avoidable Cost • ýÿ To Privatize or Not • Cost Analysis can provide insight - Perform cost analysis for in-house delivery - Determine cost of contracting out - Evaluate cost & quality issues - Monitor results • Concerns of Privatizing - Low Bid the lst year - Not enough competition in market to lower costs - Government union concerns PART VIII Evaluating Expenditures • Major Goal of Expendittue Analy~s is to determine the need for additional spending 5 Analytical Methods of Evaluating Programs • Proer.~...JPolicy Analysis • Budget Examination • r.~...,:,.~ Analysis • Pro~~.:.- Evaluation • Auditing (covered in Auditing section of CFO exams) • ýÿ ~ ~ 4 • ProgramlPolicy Analysis • Identify problems or issues that have one or more solutions and recommend the best solution - Conduct Preliminary Assessment -determine necessity of study and toles surrounding the assessment • Identify 1'robh:m or Issue • Identify the objectives of the assa4sment end the evaluation criteria • Identify other fastrns, i.e. timing • Identify ahe:netive solutioaa • R_~.~__,: ~~:.ans & Follow-up Problems with Program/Policy Analysis • Focusing on parts of problem that are easiest to measure , • Using complex techniques • Delaying reports & decisions to justify the analysis instead of assisting the decision maker • Overanalyzing a problem & missing "common sense" solution Budget Examination • Understand type of pmgram - Demand R,:.wr . live I ,,,,.,~..,.. -estimates of demand & how it can control demand -new SWlmming r~.,y~tR at the t+eC Centel - Directed F.,,d...... - detailed management plan for accomplishing goals ' J • • Budget Examination (continued) Analysis of input, process & output indicators provides information about eff~tiveness & efficiency Understand the trends in the size & focus of the organizational unit; compare current & prior year budgets & expenditures Review data that is submitted with requests i.e. how many FTE will be needed Also, the submitting department may under or over estimate the costs. Process Analysis • Technique to understand organizational unit ~r:,.G:ons by focusing on inputs & outputs -Outputs Products & services • Steps - Define individual r , .,,.,~.,. in unit -Define minimum service level forr,.~~~,.~~.~~. -Develop Aow chart of,,... -:as - Identify inefficiencies & determine if outputs are matching the objectives of ~,...,;,,,<<... Program Evaluation Attempt to measure if pmgram is meeting the goal -measures effectiveness (or outcome) & efficiencies - Identify program to evaluate - Determine the ,..~. b.~...,.. goal - Develop measurable indicators of achievement - Collect data on indicators for participanu & a control group - Compare data on both groups with desired Boats • ~ ' c • PART IX Integrated Systems Information Systems to Support Budgeting • Accounting Systems Rf....k.:.~ exp~ditures & encumbrances therefore establishing budgetary ~...... , l • L...,..:~.,.:,.,, . -claim of ~i.,~:.::,;1..w.~~::.. s • Performance Measurement - Variables • tnp~6s & oiuputa lead to C .~..,..:..; • Develop data ....~,~ ,,..~ for each variabk • 0~.~...,... mast dit~cult variable to measure Perf.~~~ance Measures • Input measures - FTEs, salary, costs of program • Output measures (Efficiency) -what is being produced in terms of products or services • Outcome measures (Effectiveness) -the impact of the program on society • • Productivity Measures Measure of Efficiency • Ratio of quantity of output to quantity of input • Misconceptions about productivity analysis - increasieg,, . !:~._.~ ' y mans h.rdar piy,iul wort -use of outcome inoead of output .. , .... . - aswminQ eats teducticn~ ce dway~ the 2+uh of :..... ,,. ht • Increase productivity by increasing inputs or outputs • Efficiency also measured by true cost of one unit of service GASB's Service Effort & Accomplishment (SEA) • Measurement ofEffort -inputs _~~ - ~ ..~~ . - • Measurement of A.,.... 1 lishment O~-~avteaapmthst Ouoeome-effatm ~, .. gather , , ,.,., ...,etc. • Measurement relating Effort to Accomplishment - BfBaeaey- meanuo effort to oatpat - EP,G..d' ...... - .....,,, . etfatto , , ,., .. . PART X Budget Presentations • Introductory Section • Financial Section • Supplemental Information i ~ ~ • Introductory Section • Transmittal Letter • Highlights of key economic & policy factors that influenced decisions • Describe budget process • Describe how policies affect service levels Financial Section • Summary of all fiords • • Three years of data • Department sections • Revenue sections • CIP included or in separate document - Capital G..r:...ditures included at fund level Supplemental Information • Organization Chart • Personnel Counts • Charts & Graphs • Summaries for stakeholders & media • Table of Contents & Glossary • Basis of Budgeting vs. Basis of Accounting ýÿ ~ ~ • Basis of Budgeting vs. Accounting • Cash Basis -budget is normally ~..:.rared on cash basis - When audit is p:,`f~..,...ed. budget adjusted to modified accnial • Modified Accntal -accounting - Revenue ~.,,..ei..ized when measurable 8t available - Expenditures recognized when incurred PART XI Capital Planning & Budgeting • • capital Improvement Pm„,,~..~. • G~ ~, ~.. ~.i Expenditures • Cyr:~1 Planning Process Capital Improvement Program • Multi-year plan that identifies cdr::~.l projects - 1st year is capital budget with sources & uses • Funds are :., . ,, r... sled io the tat year for projects - Subsequent years are ~~,~,~„ . ved on planning basis • Funds sot :;.,. ,.,,,,'etad until is capital budget • Coordinates financing sources & rues & • timing to maximize return to voters • Advantages of CIP • Considers needed projects and prioritizes so most important are implemented first • Stabilizes tax rates (mill levies) when projects are large relative to the tax base • Ensures orderly planning ahead of need and provides for various review stages before construction and expenditure of funds • Smoothes out long-term demands on fiscal resources Capital Expenditures • Criteria for parameters defined by • gOYenlntent - Essential & equitable public purpose -school, water treatment plant -Long useful life - Infi+equesit and .:..~ :..sive - R~r .:..yibility of government to provide • Parameters help determine finaacing -debt vs. cu..;...,~ revenue Capital Planning Process • Process Initiation • Resource & demand inventory • Project identification • Project evaluation • Project Scheduling • Adoption of the CIP & capital budget • Implementation • ýÿ w • ' '~ • Project Evaluation • Most Difficult Step Since Political • Benefit-Cost Analysis is tool to establish priorities - ~e8~ proJ~ objectives to identify bene5ts - Estimate the impact and value of the ol+jectivos • sometimes difficuh to quantify - i.e. value on hutmn life - Estimate the construction and .,r .::,:,.,4 Cost for t<x life oftbe project - Select diswutn rate to bring coats to ,...,v.- value - Rack the w..; _..~ in order of priority based on previously determined derision Criteria and fit within fiords PART XII Intergovernmental Fiscal Relations • Grants -see previous discussion • • Mandates - A... ,.... to influence lower govemmem behavior • F..,. ~.. Fttoding • tmplemmt Regulaticaa - Usually fwtdirtg not enough to cover cost of +.r...s.lianCe - State mandates are more tntmerous to local governments PART XIII Mathematical Concepts • Formulas for determining assessments, r-~~r--:~ tax revenue & mill levies - A mill is one-tenth of one cent = .001 • Market vs. Assessed Value - Market Price X Assessment Ratio • Inflation Formulas • Tax Rates • -Effect of increasing or decreasing tax rate ~ ~ Y • QUESTIONS? • • ~1A1 t 0= COLO?ADO What Can Be Found in the Guidebook2 The complete Guidebook details information only touched on in this summary. Highlights include: The Case Stndi~ This may be the mast illuminating and useful section for communities beginning the process of integrated planning. The case studies report experiences from a range of communities facing a variety of challenges: • Fort Collins • Roaring Fork Valley • Mesa County/Grand Junction • Yampa Valley • Ftuita • Uncompahgre Valley • Douglas County • Morgan County • Denver Metro's Colfax Avenue Corridor The Report Card The Report Card helps a community: ® Evaluate how well it is following the key principles of integrated planning; ^ Determine how well land use, transportation and air quality decisions are integrated within its region; and ® Develop an action program, make necessary policy adjustments or develop new planning processes that ensure better collaboration and links between land use, transportation and air quality planning. The first part of the Report Card, "Und~~~l.nding Community Values," helps identify the land use, transp„ ~ t4lion and air quality values that are most important to a community. Then, a series of questions assesses how well a community currently practices integrated planning. The Principles of Ltt.~, .,~„tea Planning This section details the 10 fundamental principles as well as sub~t~.t:ve ideas for integrating land use, transp,,.;«::on, and air quality. It includes specific techniques that can help your community practice ~ • integrated planning. The principles were developed through research conducted in Colorado and other western states. The Tool Bog The Tool Box provides techniques to help communities implement integrated planning principles, and it provides a checklist for evaluating whether a particular tool will be of use in a c,:....unity. The tools fall into the three categories of land use, transportation and air quality. The toolbox provides a description of each tool, a discussion of its advantages and disadvantages, and a local example of where it has been successfully used. The Resource Directory One the greatest challenges is to understand the legal and regulatory framework that affects many planning activities. The Resource Directory is designed to fill in this information and more. It describes the major federal and state statutes that apply to integrated planning, and provides examples of documents such as ordinances, regulations and intergovernmentalagreements. The dvectory also includes a bibliography of secondary and technical resources. Also Available: The Slide Show In addition to the Guidebook, the Colorado Department of Local Affairs has a number of copies of a traveling slide show with talking points. The slide show presents the principles of integrated planning and shows its impact to date on land use, transportation and air quality in Colorado. It can be used to inform gatherings of citizens, planners, and elected officials. ' Unw.,..K.ghre Valley Community Action Plan, Community Matters, Ina, 1993. s Colorado DeperbneM of Trar~porla8on a Highlands Raruir Herald, October 18,1998, page 3. ° Loudon County Planning Department, 1990; Rural aY Design, page 282. ° Colorado C.r~.. y..:rd o1 Trans,, . ,~ on, January,1897. e Frank,1989, Uu ~. ' JeH Gereh,'Subdhride arrd Corpuer ; me Amrcus Journal, Fell 1998. e Darner Regional Coumm~ of Govermrrerds, Jury 1998 R~lor~l Report a Aspen Communhy Pin adopted i ~~. ; , iety br the Aspen City Coundl, Ore Boffid of County Commissiorra, the Aspen Plannirq and ZaNnB Ca :aNaon and the Pitkin County Planning aria ZoNng C.. "~sbn EXECUTIVE CHAMBERS 136 State Capitol Denver, Colorado 80203-1742 Phone (303) 866-2471 Dear Coloradans: I am pleased to present to you the enclosed report "Managing Colorado's Future: A Guidebook for Integrating Land Use, Transportation, and Air Quality Planning." Tlus Guidebook presents valuable information that can enable communities to better manage the rapid growth we are experiencing in Colorado. This report.;,r.~;,sents a direct response to the Interregional Council's (IRC) recommendation to "imr~~W ~e transportation and comprehensive planning in all communities across the state." The IRC is a group of dedicated and knowledgeable individuals from around the state that worked to identify better ways to cope with the growth occurring in Colorado. Specifically, this Guidebook presents community leaders, planners, and citizens • with ideas on how to integrate their land use, transportation and air quality planning. We can no longer address these issues separately, because they increasingly affect each other. Case studies included in the Guidebook illtl~tiule examples of how communities across Colorado have integrated their plamting to produce tangible results in our communities. It explains the principles of comprehensive planning, a checklist that can help communities evaluate how well decisions are currently being integrated, a tool box of techniques on how to implement integrated planning, and a resource dtrectory that contains information on the legal and regulatory issues that affect many planning activities. By linking transportation, air quality and land use planning and coordinating planning through all levels of government and on a regional basis, we can better maintain the quality of life we highly value. Sincerely, Roy Romer Governor • • .~~ a e k ~` f87e °~ Ray Romer Governor ^ 10 EXECUTIVE SUMMARY MANAGING COLORADO'S FUTURE ^ Acknowledgments The autlwrs, B~1~,4 Cole and Stephanie Bakken from Community M~;w~~, Inc., Allen Gerstenberger, Gerstenberger and Associates, Meredith Miller from the Center for Resource Management and Sarah M. Rockwell and Christopher Kamper from the Law fim- of Cutler and Stanfield wish to thank the following individuals for their time and dedication to this important document. ^ Kate Fay and Jodi Asaroh from the Governor's Office of Energy Conservation for ensuring this project meets the needs of Colorado citizens; ^ Charlie Unseld from the Colorado Department of Local Affairs, Randy Grauberger and Bill Stringfellow from the Colorado DepaRment of Transportation and Ray Mohr from the Colorado Deparhnent of Public Health end Environment who kept us abreast of emerging in.;,~.~:ed planning success stories throughout Colorado; ^ The following individuals fiom the Project Council Steering Committee who carefully reviewed and commented on numerous drafts: ^ Michael Cooke, Douglas Comriy Commissioner ^ dohn Covert, Colorado Municipal League StaffAssociate ^ Cindy Erker, Morgan County Commissioner ^ Frank Gray, Director of Community Planning and Development, City of Lakewood ^ Colin Lavd, Healthy Mountain Communities ^ Scott Woodard, John Parr, Peter Kenney and Steve Hebert for their Orly review and insights on the document; and ^ James McClements for his writing and editing work on the Executive Summary. • In addition to these individuals, there were a number of people across the state who provided valuable information. Levels of participation . varied but all of these people's efforts, whether it be attending a meeting, writing a comment or reviewing a draft case study, were equally important to the evolution of this Guidebook: • Thinking About Costs Most communities that adopt integrated planning also will want to incorporate the concept of full cost accounting intothedecision-making process. Full cost accounting brings environmental and quality of life costs and benefits into the equation. This ensures drat any analysis of a c...~....unity's options reflects as accurate an assessment as possible of the cost of each option. In the Roaring Fork Valley, Pitkin County, Snowmass Village and Aspen have successfully incorporated the concept of full cost accounting into their comprehensive transportation improvement program. After 25 years of debate, these three jurisdictions recently decided to build a light rail from the Pidcin County Airport into dowmown Aspen. While light rail construction may seem more costly than a new four lane highway, elected officials considered other costs in their decision making. They considered; The cost of excceding acceptable levels of air pollution; The loss of revenue from tourists unhappy with traffic congestion; and The loss of valued open space. Leaders also gave weight to their c ~ ....~~tment to increase local transportation options and hold auto traffic to 1994 Marty Alexendroff Steamboat Springs Fred Koch Douglas County levels or below. Mark Bean Garfield County Path Lewis Morgan County Stan Berryman P~ddn County Mary Locke Mesa County Civic Forum Dan Blankeraahip Roaring Fork Transit Agency Kirk Madsen City of Steambcat Springs Anodter idea that has begun to gain i..;:..~,st in Colorado is Bennett Boeschenstein City of Frufta Doug Moreton Morgan County revenue sharing among local jurisdictions. Competition Perry Buda Mesa County Health Department Madie MarBn City of Denver for sales tax revenue drives expansion even in areas with Lee Casein City ofAspen/Pitkin County Sharon Mentzer Colorado Trust annexations and new sentiment for curbin L Meg Corwin City of Fort Colins George Monson Morgan County g ~ „..g Cliff Davidson Mesa County Don Moore Douglas County development. Revenue sharing among neighbors can Steve DeFeyter Mesa County MtCe Mueller Univ. of Colorado, Coloredo Springs reduce these pressures, and though the necessary Steve Denney Colorado Dept. of Local Affairs Ron Phillips City of Fort Collins intergov;,.~....ental agreements require complex Chuck Donley Routt County Randy Ready City of Aspen Grant Finery Douglas County Mark Ralph City of Grand Junction negotiation, they can encourage more rational growth Rids Fawcett Routt County Tim Sarmo Colorado Dept of LocalAffairs widen c ~. .....unities and regionally. Keith Fite Mesa County George Scheuemstuhl DRCOG Nancy Fishering Citizen activist, Montrose John S~neiger City of Fruits Tom Frazier City of Fort Collins Richard Sheldon Morgan County Federal Savings Ken Gale Montrose Chamber of Commerce Mice Strugar Univ. of Colorado at Denver Jean Gallen Routt County Alowetta Temen Mesa County Civic Forum Barbara Green Hale Pratt Midgley Laitos Green & Jackie Thompson Douglas County Hadrstaff Andy Hill Colorado Dept of Local Affairs Ralph Trapani Colorado Dept of Transportation AliceHubberd CityofAspen Ken Tweedy OnginalAurora Van James City of Steamboat Springs Tom Vosburg City of Fort Collins Linda Kakela City of Steamboat Springs Terry Ware City of Lakewced • ^ ^ ^ MANAGING COLORADO'S FUTURE A4. H ,~i i;. ~~ ~ ~~_ ~ _ ~) i~' ~. ~'~ ~ , ~ T. i ~jy ~`' ~0 ~~ ` ~ ~~ ~ ,~~,, • ~` Aspen cannot build its way out of traffic problems anymore than Los Angeles was able to solve its problems with ever larger and wider freeways.9 EXECUTIVE SUMMARY 9 ^ Substantive Principles This second set of principles describes substantive ideas s. ~ - _ that community leaders and citizens may want to explore as they look far solutions to specific land use, transp~,w::on and air quality challenges. ~ , ~ EXECUTIVE SUMMARY Managing Colorado's Future: A Guidebook For Integrating Land Use, Transportation and Air Quality Planning Programs LAND USE principles describe TRANSPORTATION principles AIR QUALITY principles ideas that promote resource can help a community explore emphasize the importance of efficiency, produce more vibrant, alternatives to the single occupant understanding local conditions that pedestrian-oriented downtown vehicle and ensure that different affect air quality. The least costly What is the Guidebook and areas, ensure that complementary transportation modes are option for mast communities is to h Was it Pre ared? Wh =i uses are located near one another, intelligently and efficiently focus on measures t at prevent y p integrate and coordinate: These and aid in the preservation of open connected. Communities that pollution in the first place. are watchwords for a better s ace. P choose to implement any of these The State of Colorado is at a crossroads. During the CalQrado, These words stand as a principles will see a noticeable difference in traffic congestion. I . Pursue strategies that eliminate 1990s, we have grown at unprecedented speeds, and challen a to us to kee askn the` $ P g Allow for a mix of uses that 1 pollution at the source rather than while growth means a strong economy and new jobs, right questions and keep working . combines housing with shopping I. Provide for multiple modes of m n it once it occurs. ~ g unmanaged growth can threaten the quality of our lives, foul the air that we breath, and strain our together." and employment centers. transportation and for the 2. Identify the predominant highway systems. Concern about this has led policy- ---,Gov Roy Romer 2. Encourage clustering of specific ;~n areas of onsider d rote lion of these modes. ~ stationary and mobile air emissions sources within our Y makers, planners and citizens to consider creative g .,~~,« uses an c higher density. 2. Pursue local and regional travel demand management strategies. community and detennine the • ar,r, „aches to manage growth in Colorado. • 3. Target in-fill and redevelopment 3. Encourage use of transit by relationship between these sources and regional land use and One such a , „ach is rote red lannin a method for rr >~ p ~ Integrat~l Planning for Smart Growth tounder-utilized sites. targeting frequently used routes transportation patterns. maki decisions about land use trans nation and the ~ ~ Po environment that recognizes how closely these 4. Locate uses strategically to ensure a complementary relationship and peak travel times, providing transit for special events such as 3. Use natural rather than political elements are linked. While this link ma seem Y The need for integrated planning in Colorado was identified duri Governor Romer's Smart Growth and ~ between land use and i sporting events and groups such as boundaries to evaluate and manage air quality. obvious, im rtant decisions have been made with ~ little regard to the interdependency ofthese elements Development Initiative. The initiative began in the fall on systems. transportat skiers and the elderly, and creating 4. Develop a profile of local . of 1994, and brought leaders and citizens together for a 5. Phase new develo ment to ensure p amenities such as ark and ride P meteorological and topographic All levels of government can practice integrated series of statewide, regional and community meetings. that new areas are given a chance to mature and blend in with the lots, and good pedestrian and bike hails for easy access. , Peak haffic conditions that will planning, and experiences in Colorado have shown that it can help create more livable communities and growth The Guidebook presents simple tools and techniques existing community. 4. Look always tocreate swell- influence air uali ,then develo q ty P offsetting policies and strategies that res the environment while meetin broader g that address three key suggestions made during the 6. Ensure ad uate, affordable and ~ rote red network of roads, bike ~ . 5. Implement land use principles that and more long-t~,u. economic needs. Smart Growth Initiative: diverse housing. Protect significam areas of open 7 paths, sidewalks and transit routes. 5. Identify and secure lands that may reduce travel distances between ^ Link transportation, air quality and land use . space to help maintain community be necessary for transportation key activities. planning in the decision-making proceas. character and to rovide p ex sion. Think ahead about ~ 6. Provide the infiashucture to support trip reduction such as ^ Provide alternatives tosingle-occupancy car alternative ways of getting from what you will need in the future to transit Park and ride lots, and travel that are truly viable. ply ~ per, most effectively serve your telecommunications ^ Integrate and coordinate planning efforts both 8. Limit the overall area for community. . regionally and through all levels of gavemment development. 9. Engage in activities that will insure compatible development in the areas directly surrounding your community. ThisGaidebook has been prepared at the req uest of the Interregional Council. Iris join#ly sponsored by the Governor's Office of Energy Conservation antlahe Colorado departmentsof nd 1E'uhlit~~iealth and Environment Tz'ans n Local~Affairs rtati po o , , a „ „... ^ 8 EXECUTIVE SUMMARY MANAGING COLORADO'S FUTURE ^ ^ MANAGING COLORADO'S FUTURE EXECUTIVE SUMMARY 1 ^ Shaping Our Communities: Integrated Planning Basics The Big Three Integrated planning links three key elements: ^ Land Use ^ Transportation ^ Air Quality To seethe importance of integrating these elements in plarming, we need only look at our own c :.....unities. When shopping and services aze close to our homes (smart land use planning) we spend less time driving (reduced transp~. G~:on costs) and create less pollution (better air quality). This is the theory and practice at its simplest. A c ~ ......unity engaged m integrated planning might look at ways to encourage neighborhood scale commercial development in residential azeas. It might find ways to bring residential development closer to shopping. It might i...r. ~ ~e access all azound with better public transpor- tation. While putting these solutions into practice will be a challenge, the rewards can be immeasurable as we keep our streets safe, our neighborhoods walkable and our air cleaz and fresh. rti.,,~, 6w1" ~ ~ Ara/Mv e.. , ,,.~ What's in it for Colorado? B ~:, ~;,~n 1990 and 1994 more than 360,000 new resides moved to Colorado. Summit County grew by 25 percent. >a 1993, one California family per day moved to Montrose, and portions of Weld and Lorimer counties have seen their populations increase by more than 9 percenLl As Colorado c..., t'...tes to grow, open lands are developed to accommodate new housing, industry, and commerce. Agricultural land is sold at a r: ~~.ium for new golf ^ 2 EXECUTIVE SUMMARY courses, executive homes and vacation retreats. What is lost, at the very least, are Colorado's most attractive • features: its landscapes, its livability and its air quality. Front Range residents hemmed in by growth move to smaller towns on the western slope and in the San Luis Valley, and now these communities aze experiencing their own growing pains. As we see the results of unmanaged growth in our own communities, it is natural for us to ask where this will lead. Coloradans top concerns are employment, the economy, papttlatlan growth, urban sprawl, transportation, and pollution, according to a Universrty~of ~~ Colorado survey? What Do We Want? One can safely assume that most people who live in small towns aze there because they enjoy the pace of small town life, the sense of safety and neighborliness, and the easy • r. ~„imity of shopping and services. But apparently they aze not alone in their preferences. According to a report in the Highlands Ranch Herald, The majority of residents in a suburban Denver metropolitan area who responded to a survey about their town envision a traditional town center where they can gather for outdoor events, walk down tree-lined streets, listen to concerts in the park, eat at sidewalk cafes and ride their bikes to and from the center on an adjoining trail.3 The irony, of course, is that while we have rushed to rum our towns into cities, we have lost certain qualities that urbanites now want to restore to their lives. But small towns grow larger for good reason. People who live in small towns want to make sure that jobs are available and that the widest possible range of goods and services is within easy access. It is perhaps inevitable that our towns and cities will continue to grow, but if we know what we warrt, integrated planning can help make our c.....~ ..unities work far us well into the future. • MANAGING COLORADO'S FUTURE ^ • 7. Be consistent complementary and contradiction-free Once your community has agree on a vision, review existing policies and laws for consistency with that vision. When Fort Collins reviewed its existing regulations, it found seven definitions of"street" As the city rewrote its policies it was able to better integrate land use, transp,,.~::on and'av quality considerations into a more comprehensive~and consistent framework. Anew congestion management plan includes roadway improvements, increased bus frequency, pedestrian- orierneddesign standards and activity centers with adjacent higher density housing. And as the city has taken steps to make its regulations consistent and c„~~~adiction-free, it also has coordinated policies and proe.~,~s with neighboring jurisdictions. • P ~r,,_. 8. Ensure flexibility Preserve your options by keeping ahead of the problem and design policy and regulatory tools with flexibility to respond to future conditions. Meca County's air quality planning reflects aself- initiatedeffort to develop solutions before av quality becomes poor. By staying ahead of the problem and of federal regulations, Mesa County and communities in the Grand Valley can preserve air quality in creative and more cost-effective ways that better reflect local conditions now and in the future. Communities also can design flexibility into policies and regulations to acc. ~.~.v~.odate anticipated and unforeseen changes in local needs and conditions. ^ MANAGING COLORADO'S FUTURE I,. ;~ ,a ..,r - ~, 'i ~" ~ ;~ , 4~ ~ ~ r -~.. 9. Commit to development that can be sustained over time Try to create development that meets the needs of present generations without compromising the ability of future generations to meet their needs. The work of the Yampa Valley Economic Diversification Committee reflects a commitment to this goal. Two counties and five towns in the Yampa Valley have joined forces to explore the potential for diversifying the local economy and reducing the Yampa Valley's isolation. The organization is trying to bring in businesses compatible with local citizens' long-term vision. In their first effort they created a telecommunications coalition to encourage local investment by high tech companies. 10.Keep itsimple When defming goals, consider the benetits of taking small steps that stand a better chance of success. Fort Collins found two simple, easily articulated goals that can help the city fulfill its vision: It will limit the rate of growth in daily vehicle miles traveled to no more than the rate of population growth; and shift 10 percem of single occupancy vehicle trips to other modes by the year 201 S. The beauty of these two goals lies in then practicality. They are easily measured, and they are based on a pragmatic assumption that the car will continue to be the primary mode of transportation for most people. The goals seek to modify travel patterns, not radically change them. EXECUTIVE SUMMARY 7 ^ ýÿ 3. Think regionally, act locally Find ways to build cooperation among neighboring communities to increase chances for success. Regional cooperation can help communities pool ideas and resources and protect their long-term investment in planning. The cities of Aurora, Denver and Lakewood are working together to evaluate and plan improvements to the 24mile Colfax Avenue corridor from highways I-225 to I-70. This cooperative effort has brought leaders together to discuss the social, visual and historic character of the corridor and prepare a plan that improves transportation alternatives and enhances the pedestrian environment. This project is expected to lay the groundwork for future efforts by identifying and overcoming obstacles to collaboration and exploring further opportunities. 4. Plan for the long haul Remember that short term fixes can carry long-term price tags, and try to assess solutions by their prospects for sustained success. While the people of the Roaring Fork Valley may have found it cheaper in the short run to simply widen Highway 82 (which runs between Glenwood Springs and Aspen), the region's citizens and leaders knew that this would be a stopgap measure given the growth anticipated in the valley. Thanks to citizen involvement and intergovernmental cooperation, they now have a transportation plan that contains orange ofmulti-modal solutions to be implemented in the coming years. They plan to build a light rail connection from Aspen to the Pitkin County Airport, develop park and ride facilities, and buy the Denver and Rio Grande right of way for a transp„ ~ ~,~:on corridor. ^ 6 EXECUTIVE SUMMARY 5. Know where you are at all times Always obtain the best possible information to help evaluate issues and make decisions. Good information on a vaziety ofattributes-physical, social, environmental, and economic-is key to making sound decisions,. Citizens of the Uncompahgre Valley knew that as they crafted their action plan they would need basic information about local land use and ownership patterns, air quality, jobs, valley population growth and other data. While the value of doing their homework at the beginning of the process was self-evident, they now have the benefit of solid baseline data by which to measure the success of the action plan and make improvements as updated information comes available. 6. Think carrot-and~stick Include regulation where necessary and incentives where possible. Douglas Couuty is balancing the demands of growth with the goal of maintaining the county's rural character. The county has created two programs designed to minimize the negative impacts of new residential developments and encourage creative approaches. The Rural Site Plan and the Design Enhancement Overlay District help preserve open space and encourage more efficient development through financial incentives such as density bonuses and flexible site design. Programs like these can reward desired behavior and get results that might be difficult to achieve through regulation. Trafplc conges#lala is affecting the quality of life of Colorado residents. Two thousand four hundred cammtuters in the Denver metropolitan area were surveyed in the fall of 145, regarding traffic congestion. l+arty~faur percent said they either dreaded or simply #olerated their work trips.' MANAGING COLORADO'S FUTURE ^ Design for the Best Fit lnte~~;~d planning is infinitely adaptable because it first calls upon a community to shape a vision that keeps its citizens' most deeply held values and goals within sight. This allows any town or city to craft an integrated planning pro~.~... that fits its needs. Coloradans have often looked upon planning, transit and preservation of ~ open space as urban issues, but in the past few years some of the ~6,,..gest calls for smart growth have come from the Western Slope. Integrated planning is not just for the cities and courtties of the Front Range. While the challenges in the Denver metro azea aze different from those of a small town, the principles are the same. Many small c,~.....,unities in Colorado ah~eady lead the way. Frisco, for example, has chosen to preserve its town center, the heart of the community. It has revitalized its downtown through a plan that encourages a mix of residential and commercial development. Residents can now work and shop within close walking distance. Frisco has increased pedestrian use of Main Street almost ten- foldsince 1982, reducing congesfion and traffic and .,.~.t:ng a vital town center that preserves Frisca's small town character - • • : ~ ,,~~ ; Navey~0 NP '*° '~ ~ ~ ~{; S ,MSC ~, ~ r ~~` , ~~ ~ day ~,'v. ~ fi ~ f,. ` ~ ~p~ / b~ Thinking Regionally Perhaps the greatest challenge of integrated planning is that it requires us to look beyond our city limits and county boundaries. Local solutions can go only so far, and long-term r. ~~,,ects for these solutions are greatly improved if they fit within a larger, more regional corrtext. This is why intey~:~l phmning also emphasis intergov..,, .,..,ental cap,, ~.~::on and regional planning. By w~.Ir:..g together we can manage sensible growth that serves us all. The State of Colorado provides the Guidebook in the • • hope ftrat all Colorado communities will begin to plan ^ MANAGING COLORADO'S FUTURE and manage growth in a way that best suits their particular cvcumstances and needs, as well as the needs of their neighbors. Integrated planning is not easy to implement. The process requires a commitment of staff and resources, considerable citizen involvement and a willingness of local leaders and citizens to make hard choices. Nevertheless, experiences here and around the country suggest that integrated planning can help ensure the long-term livability of Colorado communities. "[Ct}mmunitieS] need tt) improve transportation, air q~rality and comprehensive planning in all communi- d~ aero~ fire state by emphasizing integra~lon send coordination of planning efforts." From the h~tem3gkuratco~dr'slie~tto the Goverrwr, Smart Grath ., Who Should Use the Guidebook? The Guidebook is designed for Coloradans who want to und;,~~land integrated planning, and it has been written with the following audience in mind: ^ Elected officials ^ Planning commissioners ^ Policymakers ^ Citizens of Colorado ^ Professional land use and transportation planners at the state, regional, county or local levels of government ^ Public administrators ^ Public works directors and their staffs ^ Anyone involved in maintaining clean air throughout the state. EXECUTIVE SUMMARY 3 ^ ýÿ Why Do We Need this Tool? As we consider the potential value of integrated planning for out communities, we must beaz in mind that... ^ If poorly planned, a new single-family home can generate up to 10 more car trips a day.° New suburban development adds a tremendous amount of traffic to local and regional roads. Integrated planning can help design new development that makes good use of alternatives, such as transit and pedestrian and bike paths, to reduce use of single occupancy vehicles. ^ Commuting is the single greatest contributor to traffic congestion and auto emissions. Integrated planning can help create jobs closer to home and homes closer to jobs. [t also can help communities find ways to encourage carpooling and transit use that can reduce traffic congestion and help improve air quality. ^ Highway traffic is increasing at a rate of 5 percent per year-twice as fast as the populations Integrated planning can help a community explore opportunities to improve use of transp„~ ~Gon alternatives such as buses, light rail, ride share programs and carpooling. ^ Low density development can cost taxpayers np to five timm more to service than compact developmentb Higher densities preserve open space and reduce the miles of roads, water lines and sewers needed to serve development. Integrated planning can • help communities design and encourage development that is less expensive and preserves a community's scenic qualities. ^ Many zoning laws prevent mixed use and other design features commnnities now desire. Some mix of commercial and residential uses throughout a community can offer people the chance to live, work and shop without getting into their cars. Integrated planning can help replace out-of-date rules with new ones that meet today's needs. ^ Transit can help reduce traffic congestion and pollation even in rural areas. Transit is not just for big cities. Smaller communities have successfully developed transit systems that serve commuters, the elderly, skiers and tourists. Integrated planning can help explore local transit opportunities and link neighboring towns as well. What are the Principles of Integrated Planning The Guidebook describes two sets of principles to guide a community though a process of integrated planning that fits local needs. The first set of fundamental principles suggests ways a community may want to approach the process of integrated planning and establish basic guidelines and goals. The s~ond set of substantive principles suggests ideas a community may want to explore as it looks for solutions to specific land use, transportation and av quality challenges. The principles are based an successful experiences in the United States as well as in countries with even greater land use, transportation and au' quality pressures. The principles are designed to be used selectively to match local conditions, and communities should evaluate the principles carefully to d~w.t..ine which ones best apply. The principles do not prescribe, but rather suggest certain potential elements that a community might include in the process. ^ Development and growth are already guidml . , IM~tated Planning ~~~~ by planning tools and processes. * ~ a ~~~ Throughout Colorado, comprehensive plans, * ~ e ~ zoning ordinances, and subdivision regulations g~~ +' already regulate the quality, type and amount of development in most communities. [ntegrated • TI-~ reg~-nally, act filly planning at its best can help bring a unified vision ^ p~u for the long ~ to the design and implementation of these guidelines. +~ ~nqw w>I<ere you are at all times • Thiinik carmt~and~ticiz I>s metro Denver...the • 13e ca~sls~t, c~plemc>tttary prncess of sprawl is so and enntradf~ton-fry complete that suburbs • Ensure flcxiW.ity Wend into ~aeh other . Commit to developntent that can seamlessly, distinguishable ~ sus~ined overtlm~e only by their individual • iieep itsimple ~re~vorrlts d~plaly~ every Fourth of July. ~ -"` ff C~rs~ {from "Suixtly~ attd Gpt~q>' an aritde in • • 7fm cus Joanra!)r Fundamental Principles This first set of principles is designed to help communities craft a process of intee.~:;,d planning and establish guidelines and goals. Brief examples have been drawn from the Guidebook's case studies. More detailed examples and experiences can be found in the Guidebook. 1. Have a vision Ask basic questions like, "What da we value?" and "What kind of community do we want?" Citizens of Fruits decided that they valued hiking and bike trails and particularly wanted to emphasize a feature of Fruits that sets it apart-its prehistoric fossils. The c.. ~., .unity adopted a plan that encouraged the development of a dinosaur museum near a major I-70 highway exit and the Kokopelli bike trail. Many parts of the town have been developed with a dinosaur theme, and activity centers have been built in areas served by transportation. The land use plan for the c ~ ..... unity also attempts to reduce non-essential vehicle travel and r., ~ ~...ote the development of bike and hiking paths. 2. Engage citizens early Encourage early citizen participation to ensure that planning activity is widely understood and embraced. In response to rapid growth, a group of citizens in the Uncompahgre Valley initiated a series of town meetings to address issues such as land use, environmental quality, education, economic development, mobility and quality of life. Based on those meetings, a committee prepared the Uncompahgre Valley Action Plan. By supporting citizen initiatives, local leaders have let citizens take the lead in a meaningful way. ^ 4 EXECUTIVE SUMMARY MANAGING COLORADO'S FUTURE ^ ^ MANAGING COLORADO'S FUTURE EXECUTIVE SUMMARY 5 ^ y i • • TechnicalAssistance eve~o Capital Improvements Program Planning Assistance Division of Local Government Department of Local Affairs 1313 Sherman St. Rm. 521 Denver, Colorado 80203 (303) 866-2156 ýÿ WHAT ARE CAPITAL IMPROVEMENTS? • A wide range of public facilities and equipment should be considered in capital planning. While there are no hard and fast rules, capital planning deals with the purchase or construction. maior repair. reconstruction or replacement of capital items such as: buildings. utility systems. roadways, bridges, parks, landfills, and heave equipment which are of high cost and have a useful life of several years. Capital expenditures are sometimes difficult to identify. Afire truck or a new computer, thought of as a very costly capital item in a small community, may be considered in the operating budget in a larger jurisdiction. Operating activities generally have a love cost per unit and recur on a frequent or regular basis. Capital expenditures are usually determined based on their projected life span and initial cost estimates. In some jurisdictions a capital expenditure may be an item that has an initial cost greater than $2,500 and a useful life of five or more years. Other communities might set initial cost limits at $20,000 and life span expectations at a minimum of ten years. One Washington State jurisdiction defines capital expenditures as costs other than those covered in regular operating budgets for the following three major categories: 1. Infrastructure (roads, bridges, parks,facilities [including building systems and remodeling], sewers, solid waste, water systems); 2. Heavy equipment and vehicles; and 3. Office equipment (computers, calculators, typewriters/word processors, furniture). They further distinguish between capital outlays and capital projects; • Capital Outlay. Any non-major capital expenditure having a service life of two years or more and a value of $150 or more that is not physically dependent on or affixed to a particular stationary fixed asset. Examples: office equipment and vehicles. • Capital Projects. A major capital expenditure exceeding $1,000 in value, with a fixed life of one year or more; a separate, discrete improvement that has a specific purpose in developing, upgrading, replacing or maintaining the existing infrastructure. Examples: upgrades to facilities, roads, sewers. • ýÿ .~ These ARE Capital Improvements: City Hails . Courthouses Fire and Police Stations Libraries Park Land & Development Streets, Roads, & Sidewalks Parking Lots & Buildings Sewer & Water Mains Schools Hospitals Water & Sewage Treatment Plants Land Purchases Street Lighting Systems Storm Sewers Major Building Additions & Remodeling Airports Disposal Sites & Equipment Jails Recreation Buildings Tennis Courts Swimming Pools • These MAY BE Capital improvements: Fire Trucks Road Graders & Similar Equip. Computer Systems Police & Fire Radio System Trash Compactor Trucks Minor Building Remodeling or Additions Parking Meters Police Cars Pickup Trucks Street & Road Repairs Playground Equipment These ARE USUALLY Operating Expenses: Office Furniture Library Books Fire Hoses Lawn Mowers Pothole Repairs Electric Typewriters Blueprint Machines Road Gravel ADVANTAGES OF CAPfTAL PLANNING A systematic, organized approach to planning capital facilities provides a number of real and practical advantages: ~ Usina taxoavers dollars wisely. Advance planning and scheduling of community facilities may avoid costly mistakes. The effort put into deliberate assessment of the need for repair, replacement or expansion of existing public works, as well as careful evaluation of the need and timino of new facilities can • provide many savings. Project timing may be improved to better use available . personnel, expensive equipment and construction labor by scheduling related ~~ ~ . ~ major activities over a longer period. Coordination ofi construction of several • projects may effect savings in construction costs (a newly paved street may not have to be torn up to replace utility lines). Overbuilding or underbuilding usually can be avoided. Needed land can be purchased at lower cost well in advance of construction. • Focusino on community needs and capabilities. Public works projects should reflect the community's needs, objectives, expected growth and financial capability. Assuming each community has limitations for funding capital facilities, planning ahead will help assure that high priority projects will be built first. • Obtaining community suooort. Citizens tend to be more receptive toward projects which are part of a community-wide analysis. A high priority project which is part of an overall plan is less suspect as being someone's "pet project". Where the public participates in the planning of community facilities the citizens are better informed about the community needs and the priorities. A capital facilities program reduces the pressure on elected officials to fund projects which may be of low priority. One of the primary benefits of a community capital improvements program is that BECAUSE THE CITIZENS PARTICIPATED, THEY ARE MORE WILLING TO SUPPORT BOND ISSUES, RATE INCREASES AND OTHER. FUNDING METHODS. • • Encouraging economic devefooment. Typically, a firm considering expansion or relocation is attracted to a community which has well planned and well managed facilities in place. Also, a capital facilities program allows private investors to understand a community's tax loads and service costs, and reflects the fact that the community has done some advance planning to minimize the costs of capital facilities. _ • More efficient administration. Coordination of capital facilities construction, both within a jurisdiction and among city, county and special districts, can reduce scheduling problems, conflicts and overlapping of projects. Also, work can be scheduled more effectively when it is known in advance what, where and when projects are to be undertaken. A capital improvements program allows a community to anticipate lead times necessary to conduct bond elections and bond sales, prepare design work and let contract bids. • Maintaining a stable financial program. Abrupt changes in the tax structure and bonded indebtness may be avoided when construction projects are spaced over a number of years. Major expenditures can be anticipated, resulting in the • maintenance of a sound financial standing through a more balance program of bonded indebtedness. Where there is ample time for planning, the most economical methods of financing each project can be selected in advance. Keeping planned projects within the financial capacity of the community helps to preserve its credit and bond rating and makes the area more attractive to business and industry. • Federal and state grant and loan oroorams. A capital improvements program places the community in a better position to take advantage of federal and state grant programs, because plans can be made far enough in advance to utilize matching funds, both anticipated and. unanticipated. Most federal and state grant/loan programs either require prior facilities planning, or favor, in ranking applications, applicants which have conducted such planning. PROCESS The major phases in developing a capital facilities program are outlined below. Local officials must decide how elaborate their approach should be and who will conduct the various steps for their community. The ste s include: • p 1. Identifying the needs for facilities, the timing, costs and means of financing for each project; 2. Preparing a financial analysis of the jurisdiction's capacity to pay for new facilities; 3. Setting priorities among the proposals; 4. Seeking review and comment by the public on the recommended projects and priorities; 5. Preparing a final capital facilities program showing projects, priorities, schedule of completion and methods of funding each project; 6. Adopting the capital facilities program by the governing body and adopting first year's projects as a capital budget as part annual budget; and • ýÿ • 7. Reviewing the capital facilities program annually. • CAPITAL IMPROVEMENTS PROGRAM PROCEDURES - Appoint coordinator and other participants and define responsibilities; - Inform citizens; .. - Set rules/policies Define capital improvement Determine length of plan (5 years is recommended) - Develop a priority system - Prepare inventory list Include age, condition, replacement dates Include improvements underway and current status - Prepare a project request list in priority order Include in-depth information on each (justfication, future operation and maintenance costs, relationship to other projects) - Review projects and develop project summary lists; • - The financial picture Revenue trends/projections Expenditure trends/projections - Alternative Financing Mechanisms - Final Report, Adoption, and Implementation POLICES: The first step in preparing a CIP is to have a set of fundamental policies in place. These policies should define a "capital improvement°, determine length of plan and develop a priority system. • ýÿ Capital improvements can be defined to include acquisition or lease of land; any projects requiring borrowing, equipment, building and facilities; studies whose cost exceeds $5,000 and related major .equipment, furnishings and improvements that exceed a stated dollar . amount. ~ ~ • A CIP should show at least five years of capital planning. The CIP of projected projects will be reviewed once a year and another year will be added on. A process to prioritize projects should be established. Some of the factors that could influence the setting of priorities are as follows: • Encourage citizen participation in the process; • Projects would be consistent with your Comprehensive Plan or other goals and priorities; • Capital projects will be financed as much as possible from specific revenues sources (such as user fees, grants, etc.); • Projects mandated by State andJor federal law will receive the highest priority; • Projects essential to public health or safety will receive priority; • Projects resulting in savings of operating costs will receive priority; • Projects that generate sufficient revenue to be self-supporting will receive • priority; • Allocate a maximum of 5% of operating revenue for capital improvements. e Fund capital improvements only in accordance with your approved CIP; r • Require the adoption of a multi-year plan (CIP) and update it annually; • The community will maintain all its assets to protect city investments and minimize future maintenance and/or replacement; • Long-term debt financing can be used and is proper when matching costs with benefits received by future residents. The following pages are sample policies for capital improvement budgeting and related debt management and revenues. These policies were developed by the Government Finance Officers Association. 6 • ýÿ SAMPLE Capital Improvement E3udget Policies, • City%County of Sample Policies • The city will make all capital improvements in accordance with an adopted capital improvement program. • The city will develop amulti-year plan for capital improvements and update it annually. • The city will enact an annual capital budget based on the multi-year capital improvement plan. Future capital expenditures necessitated by changes in population, changes in real estate development, or changes in economic base will be calculated and included in capital budget projections. • The city will coordinate development of the capital improvement budget with development of the operating budget. Future operating costs associated with new capital improvement will be projected and included in .operating budget forecasts. • • The city will maintain all its assets at a level adequate to protect the city's capital investment and to minimize future maintenance and replacement costs. • The city will project its equipment replacement and maintenance needs for the next several ,years and will update this projection each year. From this projection. a maintenance and replacement schedule will be developed and followed. • The city will identify the estimated costs and potential funding sources for each capital project proposal before it is submitted to council for approval. • The city will determine the least costly financing method for all new projects. • ýÿ SAMPLE - - Debt Policies, . City/County of Sample Policies • The city will confine long-term borrowing to capital improvements or projects that cannot be financed from current revenues. • When the city finances capital projects by issuing bonds, it will pay back the bonds within a period not to exceed the expected useful life of the project. • The city will try to keep•the average maturity of general obligation bonds at or below years. • On all debt-financed projects, the city will make a down payment of at least _ - percent of total project cost from current revenues. • Total debt service for general obligation debt will not exceed percent of total annual locally generated operating revenue. • Total general-obligation debt will not exceed percent of the assessed valuation of taxable property. • • Where possible, the city will use special assessment, revenue, or other self- supporting bonds instead of general obligation bonds. • The city will not use long-term debt for current operations. • The city will retire tax anticipation debt annually and will retire bond anticipation debt within six months after completion of the project. • The city will maintain good communications with bond rating agencies about its financial condition. The city will follow a policy of full disclosure on every financial report and bond prospectus. s • ýÿ SAMPLE • Sample Policies Revenue Policies, ..City/County of ~ ' • The c'rrj/ will try to maintain a diversfied and stable revenue system to shelter it from short-run fluctuations in any one revenue source. • The city will estimate its annual revenues by an objective, analytical process. • The city will project revenues for the next (three/five/other) years and will update this projection annuaQy. Each existing and potential revenue source will be re-examined annually. • The city will maintain sound appraisal procedures to keep property values current. Properly will be assessed at percent of full market value. • The year-to-year increase of actual revenue from the property tax will generally not exceed percent. Reassessments will be made of all property at least every _ years. • The c'~ty will follow an aggressive policy of collecting property tax revenues. The annual level of uncollected property taxes will generally not exceed percent. . • The city will establish all user charges and fees at a level related to the cost of providing the services. • Each year, the city will recalculate the full costs of activities supported by user fees to identify the impact of inflation and other cost increases. • The city will automatically revise user fees (with/without) review of the governing board to adjust for the effects of inflation. • The city will set fees and user charges for each enterprise fund such as water, sewer, or electricity at a level that fully supports the total direct and indirect cost of the activity. Indirect costs include the cost of annual depreciation of capital assets. • The city will set fees for other user activities, such as recreational services, at a level to support _ percent of the direct and indirect cost of the activity. • Intergovernmental revenues will generally not exceed percent of the current operating budget. • The amount of funds necessary to match intergovernmental grants will generally not exceed -percent of current operating budget. • 9 ýÿ ENTERPRISE FUNDS Enterprise funds are used to account for operations that are financed and operated in a • manner similar to private business enterprises -where the intent of the governing body is that the costs (expenses, including depreciation) of providing goods or services to the general public on a continuing basis be financed or recovered primarily through user charges. In Colorado, activities such as water and sewage treatment systems should be accounted for and reported upon by utilizing the enterprise fund concept. It is the opinion of the State Auditor that, in the interest of public policy and uniformity of reporting for Colorado local governments, all activities which are similar to a business which normally should be self-sustaining, or which generate funds from charges for services or sale of goods, should be accounted for as an enterprise fund regardless of the size of any subsidy from other revenue sources. The subsidy may take the form of a transfer from other revenue funds or it may be direct tax levy by the fund itself. The enterprise fund concept provides accounting and reporting which shows whether the utility activity is operated at a profit or loss similar to private businesses. The enterprise fund should include the related fixed assets of the system. Further, the accounting for enterprise funds should recognize and record depreciation as an element of cost in determining income. INVENTORY • A facilities inventory is a list of all capital facilities owned and operated by a jurisdiction. A facilities inventory should attempt to identify existing facilities, determine original costs and replacement values, consider property condition and estimate dates on which improvements or replacement is necessary. A jurisdiction may wish to gather more information such as: methods used to finance the facilities, the remaining debt and annual debt service and annual operating and maintenance costs. A sample Capital Facilities Inventory form (CIP-1) is attached and can be used by your jurisdiction in compiling the background information used in completing the CIP. Form CIP-2 can be used to list current projects, their status and funding. io • ýÿ The Capita{ Project Request fomn (CIP-3) is designed for larger entries that rely on . ,departmental budget requests.. This form is. a good way to get "real" figures on project ' proposals.: The idea is to get a written justification and estimated costs including, most . importantly, future operating and maintenance costs. Forms CIP-4 and CIP-4a are general project summary fists. The Past Revenue Trends form (CIP-5) and Past Expenditure Trends form (CIP-7) can assist you in reviewing past practices and in projecting future revenue and expenditures on form CIP-6 and CIP-7. • ii • CAPITAL FACILITIES INVENTORY Target Date: Year Built Latest Major Replacement Facility or Acquired improvement Condition Adequacy Expansion ' ~C1P-1 • • is • . • • STATUS OF APPROVED PROJECTS Expected Completion Total Funds Project Status Date Committed Funds Committed But Unspent Financed By CIP-2 • 13 ýÿ CAPITAL PROJECT REQUEST 19 - 19 Submitted by: 1. Project Title 2. Location 3. Description: New 1. Justification: Date Prepared: Dept. Priority Addition 6. Relation to Other Projects and Master Plan: 8. FUTURE ESTIMATED RECURRING COSTS a) Annual Operating Cost b) Annual Maintenance Cost c) Other Non-Capital Cost d) TOTAL RECURRING COST 10. PROPOSED METHOD OF FINANCING Current Revenue Special Assessment Replacement Other 5. Possible Alternatives: 7. TOTAL ESTIMATED CAPITAL COSTS a) Planning, Design, Engineering b) Land Purchase c) Construction d) Miscellaneous e) Other f) TOTAL CAPITAL COST 9. ESTIMATED FUTURE CAPITAL COSTS a) Total Cost of Project b) Cost to Date c) Remaining Cost d) Estimated Cost Through 19_ , e) Estimated Cost After 19_ General Obligation 11. ESTIMATED CAPITAL EXPENDITURES BY YEAR Bonds State Aid Prior to 19_ 19_ Revenue Bonds Federal Aid 19_ 19_ User Charges Other 19_ 19_ 19_ Beyond 19_ CIP-3 ~ ~.. ~ . CAPITAL PR~CT SUMMARY LIST _ 19_ (Cost Estimates in Thousands of Dollars) Department Cost Est. Remaining Cost 19_ - 19_ Est. Total Thru 19_ After Project Cost 19_ Cost 19_ 19_ 19_ 19_ 19_ 19_ Priority Description ($ooo) ($ooo) (~ooo) (~ooo) (~ooo) ($ooo) (~ooo) (~ooo) ($ooo) CIP-4 15 CAPITAL IMPROVEMENT PROGRAM SUMMARY LIST 19 - 19 (Cost Estimates in Thousands of Dollars) Total Cost Department/Project ($000) CIP-4a ~ ~.s ~ PAST ~NUE TRENDS • Fiscal Year/Revenue Source 19_ 19_ 19_ 19_ 19_ Property Tax State-Shared Taxes .; Federal Revenue Sharing 1~ Other Intergovernmental Revenue ~ i; Other Revenues TOTAL TOTAL TAXABLE VALUATION Property Tax Mil{ Levy ESTIMATED POPULATION Total Revenue/Capita CIP-5 i~ ýÿ PAST AND PROJECTED REVENUES 1976 -1987 600 500 Total 400 Revenues ($000) 300 200 100 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 Fiscal Years NOTE: Past and estimated future expenditures could also be plotted on the same graph for comparison.) . CIP-6 • (~• ýÿ • • PAST EXPEND{TURF TRENDS .. r. Fiscal Year/Revenue Source 19_ 19_ 19_ 19_ i9_ Operating and Maintenance Costs Capital Projects Costs Debt Service Costs TOTAL I ESTIMATED POPULATION Operating and Maintenance Costs/Capita ,CIP 7 Iq PROJECTED REVENUES AND EXPENDITURES 19 - 19 ITEM Projected Population Projected Taxable Val ANTICIPATED REVEL Property Tax State-Share Taxes Other Revenues TOTAL REVENUES ANTICIPATED EXPEP Debt Service (Commi..,,,,, Capital (Committed) Operating and Maintenance TOTAL EXPENDITURES AVAILABLE FOR CAPITAL PROJECTS CIP-8 ~. ~o • • • ANALIr.~ING FINANCIAL TRENDS and ASSESSING THE IMPACTS OF GROWTH • Division of Local Government 1313 Sherman St., Room 521 Denver, CO 80203 (303) 866-2156 • ANALYZING FINANCIAL TRENDS and •• . ASSESSING THE IMPACTS OF GROWTH Included in this publication is a set of questions and checklists designed to draw attention to issues that should be considered by a community's decision makers when confronted with growth issues: • - A Financial Trend Analysis examines the community's historical financial trends. The issues which local officials have dealt with in the past will usually emerge from this analysis (e.g., an increase in the sales tax rate four years ago will be graphically demonstrated). Division of Local Government staff is available to assist communities in this process. Sample financial trend analysis spreadsheets; graphs and charts are displayed beginning on page 12. - Assessing the Impacts of Growth will help a community which has been experiencing recent growth, or is faced with a decision which will cause growth (such as an annexation, or a new subdivision). In such cases, local decision-makers have found that an analysis of the financial history of the•community can often result in a more thorough understanding of growth and its implications. The staff of the Division of Local Government is prepared to assist local officials in this work. - Also included is a very brief section on Social Impact Assessment. The questions posed in this section serve as a reminder that any growth and development has implications beyond the fiscal. While its scope is limited in this discussion, social impact assessment should be seriously considered. An up-to-date comprehensive plan is important when conducting a social impact assessment because it offers a vision of what the community wants to look like and how it does and does not wish to change. If you do not have a comprehensive plan which has recently been updated, the staff at the Division of Local Government has many excellent examples. FINANCIAL TREND ANALYSIS The first step in any projection is to develop the baseline data. In this case, such financial data can be developed using a community's own records. Alternatively, the data necessary to analyze past trends in revenues and expenditures is available at the Division of Local Government. The Division has developed a database which extends as faz back as 1975 for municipalities and counties, and 1989 for special districts. The data is functionally categorized, which makes possible comparisons with similar jurisdictions, either geographically or by population. It can be helpful to enter that data into a spreadsheet, so that similaz figures aze neaz each other and can be easily compazed. An electronic spreadsheet, such as Lotus 1-2-3 or Quattro Pro, is useful to display the historical trends as graphs and pie charts. This allows easier understanding of the relationships between functional expenditure areas and revenues over time. Therecommendedminimum historical time frame to use is five years. The Division of Local Government has developed a Quattro Pro application for this purpose which can be used to analyze ten years of data. February 1998 • 2 ýÿ ASSESSING THE IiVIPACTS of GROWTH . In order to project the fiscal impact that gro~~•th will have, it is first necessary to idea>.if~ the components of gro4vth as closely as possible. These components need to be quantified so that they • cy: be reduced to "growth factors," which are then used as multipliers of base data. Even if professional assistance is secured in conducting a fiscal impact assessment (FIA), certain decisions must be made as to how to structure the projected scenarios. Following is a description of assessment methods and other considerations which,should be given to any projection based on Qrowth and development. FIA is commonly described as: "A projection of the direct, current, public costs and revenues associated with residential and nonresidential growth to the local jurisdiction(s) in which this growth is taking place." {Burchell and Listokin. The Fiscal Impact Handbook. 1933. p.l). By assessing the fiscal impacts of a proposed project, you will better understand what considerations are important for you and your community while planning the project, you will make more rational decisions concerning provision of services, and your decisions will lead to sound long-term growth policies. The first step in completing an FIA is to analyze past trends of revenues and expenditures. The previous section on Financial Trend Analysis provides a brief description of such an effort. The second step in the FIA process is to make some initial projections of the expected changes in revenues and expenditures associated with your growth. Following are brief descriptions of some methods you may use to calculate the projections necessary for these initial projections. They are: per capita multiplier method, case study method, service standard method, comparable city method, and proportional valuation method. The case study method analyzes individual services' expenditures and revenues as projected by the heads of the departments who oversee each service. Use of this method assumes that the heads of the departments will have the best information. It is the best methodology for two reasons. First, it involves more people in the process and makes the project more personal for many residents. Second, if the department's own figures are used for each service, they may be more satisfied with the results. The per capita multiplier method uses the present per capita revenues and expenditures associated with individual services to determine growth in revenues and expenditures based on the projected increase in population from a growth projection. This type of projection may be useful if your development's new population will greatly resemble a cross section of your town at present. If your project greatly resembles one section of the town but not much of the rest, it may be better to use the per capita multiplier of just that section. The service standard method, like the per capita method, uses population change as a multiplier. Multiplied by per capita service standards, the predicted population change helps estimate how much more,:ctual service will be required. Problems can arise with this method, though, when dzcisinQ whose standards to use. State, county, and local standards often vary. Additionally, thzre are Februsuy 1993 • 3 sometimes multiple standard options within one town. For example, the town may have 1 acre of~ '~ open space allorted for every 100 residents, but may wish to have rivo acres for every 100 residents. The question is, which one to use. For most cases it works best to use the standards that exist currently within your community. The comparable city method uses other entities of like size and growth patterns to help project . future revenue and expenditure figures. Assuming that similar towns have similar fiscal characteristics, it can be helpful to note how other towns changed after initiating projects similar to yours. A town should take into consideration more than just size and growth rate similarities,though, when choosing other towns to look at. Tourist towns should look at tourist towns, for example, and agricultural towns should look at other agricultural towns. The proportional valuation method is a means to project the costs of providing services to nonresidential (commercial and industrial) units. Using the development's share of total local property value, a portion of local municipal costs is assigned. Different methods may prove to be more accurate for one service than another. In some cases you may choose to use several of the methods to create alternative scenarios. Then, determine which best approximates your community's expected growth pattern. In deciding which methods to use, you should talk to potential developers and other experienced individuals to get their opinions on which methods may work best. It may also prove beneficial to do several complete time series tables, one for each method you choose to try. When considering a trend analysis, remember that it is very difficult to predict secondary or induced effects such as how the local purchases of a new commercial development will affect the total sales; and thus employment, in the region. This type of focus is usually more applicable to entities of large populations. However, these secondary and induced effects may play a role in your project and should not be left unacknowledged. The Regional Input-Output Modeling System (RIMS) Multiplier method is one means to assess this more complex type of economic unpact. Information on the RIMS Multiplier method can be found by contacting Jim Westkott of the Division of Local Government at (303) 866-2156. Some Basic Considerations Whether or not you consider any of the questions below will depend on where your community is in the planning process. Nevertheless, all of these questions and situations should be considered before a decision is made on whether or not to go ahead with a particular project. Later in this publication is a checklist with more questions of this nature. Together, these sets of questions are offered to help stimulate your thinking about issues that otherwise may not have been considered. Not all projects will have a positive fiscal impact, but by answering these questions, you will identify those impacts, which will allow you, in turn, to identify revenue sources to offset them. How do the policies in your Capital Improvements Program (CIP) assign the burdens of cost for the additional services associated with the project? (Please see the separate DLG publication which describes the benefits of a CIP and how to formulate your own.) Are citizens more concerned with increasing taxes or lesser levels of service? What is the February 1998 • 4 ýÿ perceived point of equilibrium? - Who needs this project? Why? - Are other upcoming projects more important? Have priorities been established? • - How might projects complement or compete with each other? - What is the compatibility of the implementation schedule with other planned facilities and services? - Ho~v far into the future will benefits be derived from this project? - What is the total direct cost? (Total direct cost includes all expenditures required for the initial completion of the project.) - What is the net cost to the municipality? (Net cast is the total direct cost minus any available non-municipal funds such~as grants, reimbursements, credits, etc.) - What ongoing operational and maintenance costs will result from the new capital costs? - What are the alternatives to providing the service? - creating a special district (see "Districts and Alternate Government Financing Mechanisms," a separate DLG publication.) -joint financing; or -privatization ' . What are the positive and negative effects of the project on other existing or planned facilities and services? - Are there other potential negative effects such as relocation of residents or businesses, a decreasing tax base, etc? - What is the proposed project's net contribution to the achievement of current municipal, regional, and state plans, policies and work programs? - What will happen if the project is not implemented? - What is the amount of time required for implementation, and the suitability for sepazating the project into different phases? - Are there timing and phasing restraints imposed by the financing methods? SOCIAL IMPACT CONSIDERATIONS While we have been focusing primarily on the fiscal aspects of impact assessment, we cannot . February 1998 5 overemphasize the importance of social impact assessment (SIA). In many cases, the fiscal; . " complications and burdens that may come with growth are offset by the social benefits of that same ~~ growth. For example, the town's residents may beaz a heavier tax rate than they did previous to the development, but they may gain overall because the development will offer an excellent facility for the care of the elderly. • Alternatively, the project may cause alterations in the social makeup of the town that the residents really do not like and were not expecting. With more consideration of social impacts, a negative social consequence of the development may be avoided. This section is meant to help you envision your project as a social addition to the whole community rather than just a fiscal appendage or structural alteration. The following questions should be considered and discussed: - Can local schools' faculty handle more children or will more teachers be necessary? Special programs? - If a new school will be needed, do you have the location picked out? Will it be close enough to residential azeas? - What is it about your town that will draw, or does draw, business and new population? WiII this be changing at all? - Will new commercial development change the "look" and "feel" of the downtown azea? Is this accepted by the residents? - Can recreational facilities support a growing population or will there be overcrowding? - How do (will) the citizens feel about such potential impacts as: • -Less open space around the town? -Potentially increased congestion? -Urbanization of rural azeas? - Will this project benefit the whole town or just a section of the town? - Will this project change the ratio of jobs to residents in the town? - Are there any positive or negative environmental impacts? - How are the negative and positive effects distributed over different citizen groups and areas? - What impact will the project have on the quantity or quality of service to be provided to the public? - Does an annexation agreement ensure that growth occurs according to your town's standazds? - Does residential growth meet the need of a special population (e.g. young adults, elderly)? - Is your community identified with a certain special industry, service, amenity, or attraction? If so, will the project alter that perception? If not, does the project create a desirable identification? February 1998 • 6 ~__.._...,, _..Y....,, ,•.uaaay, 1..a1t1V111, ltil.. /-~~uu~~'i.a41~~?UK• ~v~dnao~ln~ l~rS~~~~'t 1~ the Sr~u CotY~,ity: Pa.~TT; C'rettina the Cnmmnnity Involved and Organized. U.S. Environmental Protection Agency. Boulder, Co. 1978. 104 pp. Briscoe. ~laphis, Murray, Lamont, Inc. Action I~atidbQC~k. ?v~ana~irl~ C1zgwth in the Sm~l C~rrtrt,~u~,itv~. pert Ij,T~ C~mznun'tty Action and Growth Mar~a?e~g~t. U.S. • Environmental Protection Agency. Boulder, Co. 1978. 161 pp. Burchell, Robert, W., Listokin, David. The Fiscal Impact ~-Iar~d~ook: ~limioatiz~Q Local Costs and Reveni-es of Land Devet~ment. Center for Urban Policy Research. New Brunswick, NJ. 1988. 480 pp. . _ Canter, Atkinson, Leistritz. Impact of Growth: A Guide for $ocio-Economic Impact Assessment and Planning. Lewis Publishers, Inc. Chelsea, Mich. 198b. 533 pp. Cole, Bazbaza., Miller, Meredith. Development Review Manual: Volume 2: The Development Review Process. City of Black Hawk. Black Hawk, CO. 1991. 39 pp. Division of Local Government. Fiscal Impacts of Land Use Conversion. Department of Local . Affairs, Denver, CO. 1979. 190 pp. Finsterbusch, Kurt., Wolf, C.P. Methrul,Qlo_QV of Social Impact Assessment. Dowden, Hutchinson, & Ross, Inc. Stroudsburg, PA. 1977. 3 87 pp. Hoxworth, Dan. Spindler, Chazles. Ellis, Gordon, E. "Impact Fees: Issues and Case Studies". MIS Report. Vol. 23/Num. 12/December 1991. Management Information Service. Washington, D.C..1992. 26 pp. • Leistritz, Larry, F. Murdock, Steven, H. The Socioeconomic Impact Qf Resource Development: Methods for Assessment. Westview Press. Boulder, CO. 1981. 286 pp. Lemov, Penelope. "User Fees, Once the Answer to.City Budget Prayers, May Have Reached Their Peak".. Governing. Vol. 2/Num. 6/Mazch 1989. pp. 24-30. Lucas, Therese, C. The Direct Costs of Crrnwth: A Comparison of Changes in Local ~oven:unent FxpPZ,~,jrr,~gin, ('rm~u~an.~, ~l~p-C'7rowth Counties in Colorado. Colorado Land Use Commission. 1974. 76 pp. MacNeill, Norman, A. Nissenbaum, Daniel, A. "Annexation Agreements". MIS Report. Vol. 18/Num. 3/March 1986. Management Information Service. Washington, D.C. 1986. 21 pp. McCracken, Robb. Desch, Ann, eds. The Mini Capital Improvements Plan for Small Towns. Montana Department of Commerce. 1989. Tischler, Paul, S. "Analyzing the Fiscal Impact of Development". MIS Report. Vol. 20/Ivum. 7;'July 1988. Management Information Service. ~~ ashington, D.C. 1988. 13 pp. February 1998 • 8 ýÿ SAMPLE FINANCIAL TREND ANALYSIS aad DATA, GRAPHS and CHARTS • February 1998 • 9 • • • TOWN OF ????? REVENUES for GENERAL AC?'1' 1jTIES 1991 1992 1993 19Y~ 1995 1906 Total Revenue 5253,250 (271,041 (276,227 8316,978 8325,3b3 8356,626 Total Tax Revenue 8134,236 8137,603 5162,598 8196,617 8210,683 8203,489 Property Tax 553,809 555,817 869,025 (96,819 893,170 (93,577 S.O. Tax 53,934 54,294 85,278 88,265 88,740 88,982 Sales & Use Tax 55b,681 858,008 869,513 571,671 887,124 577,738 franchise Tax 517,503 817,199 81b,4b2 817,d04 518,996 (20,569 Occupation Tax 51,755 (1,830 81,920 81,925 82,005 f2,055 Other Taxes 5554 8455 8400 8333 5648 f5b8 Licenses 8 Permits 52,600 54,796 E3, 763 (5,894 (10,001 821,541 Total Intgovt. Rev. 580,967 (82,033 886,856 ~ 882,002 880,558 5102,037 Total federal Rev. 80 80 80 80 80 SO Revenue Sharing 80 80 80 80 80 f0 Total State Rev. 533,699 833,349 836,397 840,537 (43,390 851,520 Highway User Tax 820,277 821,500 821,912 823,394 824,842 527,496 Cigarette Tax 82,665 52,602 82,483 82,429 83,392 53,710 M.V. Reg. Fees 83,827 53,899 84,232 (4,525 54,820 85,244 Cons. Trust Fund 83,810 55,138. 86,267 85,749 87,583 58,888 Social Srv. Rev. 80 80 f0 80 ,80 50 Other State Rev. 83,120 8210 81,503 83,940 82,753 56,177 Other Govt. Units 847,268 848,664 850,459 841,465 837,168 850,517 Charges for Services 50 EO 50 80 50 f0 Fines and Forfeits 5760 51,522 81,090 83,795 84,141 b5,3b3 Misc. Revenues 534,687 842,018 521,920 528,670 819,980 524,146 interest Revenue 819,028 813,787 89,399 E7, 717 89,231 813,714 Transfers In EO 53,069 80 f0 50 50 • TOWN OF ????? Total Operating Exp. General Governna•nt Judicial Totl Public Safety Police and Jail fire 0th. Pub. Safety Total Public Works Roads & Highways Solid Yaste other Pub. Yorks Health CulturefRecreation Welfare Expense Miscellaneous Exp. Transfers out Capital Outlay Debt Service - Gen. Principal - Gen. Interest -Gen. EXPENDITURES for GENERAL ACTIVITIES 1991 1992 1993 1994 1995 1996 E1b7,648 5233,841 5205,389 5210,628 5212,110 5249,775 575,233 596,792 577,285 567,207 575,091 597,422 52,218 53,437 51,758 52,566 51,804 55,178 513,882 541,081 541,979 545,562 532,776 539,642 512,342 537,608 539,625 542,000 524,446 525,100 SO EO EO 50 EO SO 51,540 53,473 S2,354 53,562 58,330 514,542 554,248 551,666 554,099 554,b42 570,185 Sb5,698 554,248 551,666 554,099 554,642 570,185 565,698 EO EO SO EO SO EO EO EO EO EO SO SO 57,255 58,916 55,962 55,793 56,041 59,430 514,812 531,349 524,306 834,858 526,208 527,265 SO SO SO SO SO EO 50 5600 SO EO SO E5, 140 514,091 50 524,839 850,300 552,466 574,265 540,371 587,737 511,167 534,920 54,900 SO 517,402 ~ 516,844 ' 519,757 515,087 514,995 510,380 515,375 ~d12,873 515,564 59,155 511,273 58,334 52,027 53,971 54,193 55,932 53,722 52,046 • • y • Town of ????? • AUXILIARY DATA • 1986 1987 1988 1989 1990 1991 1992 1993 199A 1995 1996 Population 487 801 602 821 847 879 717 737 791 1058 1276 Rural Vehicle Regs, 0 0 0 0 0 0 0 0 0 0 0 Vehicle ReglStfalnS 628 845 500 517 set 830 615 656 703 772 998 Miles o(Road 3• 3 3 3 3 4 4 4 4.58 5.95 7.35 G.O. Debt -General So So so so So So so so so so Eo Rev. Debt -General So So So So So ~ So So So so So Improvement Debt So So So So So So So So So so so Olher Debt -General So So So 50 5o So SO S26,ooo sz4,ooo szo,ooo E16,oao A.V, (OOOS} 51,720 31,726 31,743 52,881 52,584 12,324 32,549 53,280 53,444 33,870 54,448 Retail Sales (OOOs) 32,088 51,997 53,684 53,172 54,620 33,405 53,608 54,403 54,674 57,391 58,025 State Sales Tax Paid 524,482 524,973 523,875 532,251 534,399 537,754 544,548 552,288 588,268 586,275 5111,414 Current Assets 5286,419 578,888 555,283 554,251 5/24,418 5117,118 5102,027 5169,811 5208,383 5438,996 5508,470 Current Liabilities 567,052 539,144 539,512 531,739 531,319 58,733 53,523 55,490 511,982 579,077 528,795 Mill Levy 9.293 9.293 8.293 5.683 8.983 8.281 8.185 6.908 6.906 6.906 6.908 Sates Tax Rate 2.000 2.000 2.OOD 2.500 3.000 3.000 7.000 3.000 3.000 3.000 3.000 )LG ýÿ Enterprise 111 COMBINED WATER AND SEWER ENTERPRISE FUNDS 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 Total Revenue 50 so SO 50 St04,743 5117,080 5103,844 5208,587 3227,469 5420,274 5829,879 Service Charges 50 s0 So SO =88,723 597,211 5103,089 5119,849 3120,041 5155,007 _ 5227,692 Tap/Dev. Fees $o So 50 SO 514,450 318,200 SO SO 3103.875 3257,450 5540,527 Inlgovt. Revenue So so So So to so So so so so Ssoooo Transfers In so so so so so so so s17,ooo so 3o so Other Revenue so So 5o So Sts7o St,ess 37ss 37t,9t8 53,7s3 s7sn sttsso Operating Expense SD SO 50 50 577,385 577,754 St04,738 5111,513 3148,033 3287,970 5251.188 Principal Payments to so ~ so Szs,o~ 52s,ooo so so so so so interest Payments 30 so 50 So 53,959 51,688 SO so 30 SO So CapitalOullay SO 30 So SO S3,t>02 512,481 SO 311,515 539,974 Sr~,976 3490,013 Transfers Oul SO SO So SO SO So St1,938 So SD SO SO G.O. Debt so so so So SzS,~o so so so so so 30 Revenue Debt so so so so so so so 3o so 3o so Other Debt so so so so so So so so m so 3so,ooo Depreciation s0 SO 50 SO s49,7ts s5o,ota sso,324 549,432 557,849 358.881 377,Si8 .G • ~ • • • • • ' WATER ENTERPRISE FUNDS 1991 1992 1993 1994 1995 1996 Total Revenue 5141,724 5126,846 5151,202 8605,953 8270,849 8627,132 Service Charges 8113,805 5110,127 5113,117 8149,477 8185,790 5213,423 Tap/Dev. Fees 85,000 57,500 85,000 86,000 827,500 557,500 Intgovt. Revenue SO EO SO 8391,420 EO 8270,000 Transfers In 513,991 SO 824,839 850,300 852,466 874,265 Other Revenue 58,928 89,269 88,246 88,756 85,093 811,944 Operating Expenses 8134,854 8107,226 8127,748 8124,374 8117,020 5210,109 Principal Payments 813,804 813,427 511,270 822,041 824,820 522,197 Interest Payments 815,622 815,583 517,992 833,759 533,336 831,907 Capital Outlay 86,668 819,475 563,824 ~ 8759,088 8372,518 81,836,119 Transfers Out 50 83,069 EO EO SO 50 G.O. Debt 8200,000 8197,000 .8531,000 5518,300 8505,100 51,191,300 Revenue Debt 80 80 SO 80 80 EO Other Debt 8178,059 8178,107 8164,955 5167,464 5525,044 81,420,447 Depreciation 817,911 517,911 817,125 817,630 536,236 832,880 TOWN OF ????? AUXILIARY DATA 1991 1992 1993 1994 1995 1946 Population 918 94Z 959 971 981 1010 Rural Vehicle Regs. 0 897 0 926 0 498 0 1059 0 1134 0 1259 Vehicle Registratns 7 7 7 6.99 7.3 7.8 Miles of Road 50 SO SO EO SO EO G.O. Debt - General SO 50 SO 50 EO 30 Rev. Debt - General 30 SO 30 80 EO EO Improvement Debt Other Debt - General 59,884 558,487 842,923 533,768 522,495 514,161 (OOOs) A Y 53,240 53,308 53,211 53,145 53,068 53,091 . . Retail Sales (OOOs) 37,035 56,323 59,615 813,691 512,581 511,148 State Sates Tax Paid 589,347 8117,693 3144,039 5167,659 5251,211 5194,516 Current Assets 5393,545 8368,174 5688,509 3371,797 5479,219 5667,869 Current Liabilities ESb,978 371,628 5135,400 5123,456 584,701 5150,925 Mill Levy 16.769 16.483 21.54 30.343 30.343 30.343 Sates Tax Rate 2.000 2.000 2.000 2.000 2.000 2.000 • • ~ • Town of ????7 ' VENUES for GENERAL ACTIVITIES • 19811 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 Total Revenue 5396,639 5214,481 5114,860 5141,942 5247,240 5197,718 5258,457 5285,133 5259,970 5333,230 5429,359 Total Tax Revenue 545,257 546,422 544,024 553,517 567,608 579,563 588.523 5112,031 5130,283 5157,137 5192,834 Property Tax 315,979 518,032 516,211 518,948 518,009 519,048 320,668 522,652 523,777 526,799 541,744 S.O. Tax 31,218 51,278 31,275 31.450 51,670 51,891 52,718 52,203 52,797 53,558 54,152 Sales 8 Use Tax 519,952 521,326 519,157 527,764 540,412 350,443 557,122 555,718 589,166 5110,849 3128,241 Franchise Tax 56,259 58,484 55,693 55,605 55,830 38,273 58,214 SO 512.385 815,913 515,907 Occupation Tax 31,747 51,207 S1,s78 31,830 51,775 31,512 52,284 SO 52,022 320 52,790 Other Taxes 3104 397 5120 5122 5110 5398 5117 531,460 5136 50 SO Licenses 8 Permits 54,181 53,141 51,478 53,357 53,989 54,748 517,283 524,228 541,983 571,201 564.378 Total lntgovt. Rev. 5311,225 3117,125 528,245 525,781 527,330 523,288 561,417 559,100 527,467 534,602 555,481 Total Federal Rev. s3sss s7,1tz 571o so So So so So So 54,312 slszz Revenue Sharing 53,9ss sz,7z6 io So So So So So So So so Total State Rev. 568,069 5103,481 518,957 ,522,410 324,557 521,552 522,963 541,778 522,690 526,528 534,214 Highway User Tax 38,870 58,559 59,412 59,230 310,077 510,887 513,899 513,893 514,484 815,969 520,332 Cigarette Tax 5890 5838 5880 5720 5909 5799 5859 So 31,031 51,263 Si.435 M.V. Reg. Fees 52,399 52,087 52,181 52,237 32.518 52,645 52,573 52,816 52,786 53,334 54,349 Cons. Trust Fund 52,253 31,640 52,485 52,319 31,983 52,462 53,531 54,678 54.387 55,962 38,098 Social Srv. Rev. so So So ' so So so So So So so So Other State Rev. 555,857 580,557 54,219 57,904 59,072 54,779 32,061 520,391 SO SO 50 Other Govt. Units 5239,201 58,532 58,578 53,351 52,773 51,738 538,554 517,322 54,777 33,762 519,645 Charges for Services 517,353 528,089 521,398 527,481 527,818 325,383 329,710 543,899 534,454 544,764 578,241 Fines and Forfeits 52,908 53,803 510,704 313,131 117,843 513,828 517,880 518,499 514,556 516,582 317,013 Misc. Revenues 515,715 317,901 58,815 518,895 5102,573 541,110 543,884 57,378 311,227 58,944 323,412 Interest Revenue 57,820 58,882 51,589 51,382 53,245 SS,Bi7 54,933 52,382 51,361 52.038 54,327 Transfers In so So So So so So Sfl So So 3o So LG Town of ????? EXPENDITURES for GENERAL ACTIVITIES 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 Total Operating Exp. 597,385 5123,901 5117,/42 5110,313 5208,141 5180,fl52 5201,518 5266,990 5258,548 5294,790 5404.968 General Governme 536,919 542,153 530,728 325,259 535,478 542,185 569,354 547,137 533,320 550,549 569,248 Judicial io 50 52,169 sz,616 61,879 51,836 52,175 5o SO SD 6406 Totl Public Safety 527,757 537,807 543,434 541,170 548,687 556,318 572,928 590,211 5108,166 5106,484 5155,423 Police and Jail 527,757 535,921 540,550 541,170 548,687 558,318 560,927 390,211 3106,166 570.449 5106,652 Fire So So 5o So So 50 So so So so so Oth. Pub. Safety SO 51,688 52,884 SO SD 50 512,001 SO 50 536,035 548,771 Total Public Works sz2,o7a 525,723 326,214 527,5ds 5106,695 557,942 542,351 662,946 s6a.ao2 699,160 s11s,s6fl Roads & Highway 513,422 513,468 513,003 513,450 591,832 537,590 513,899 565,891 552,806 561,165 565,567 SOlal WeslB 58,652 512,257 512,211 514,098 514,883 520,352 528,452 527,057 531,596 537,995 550,081 Other Pub. Works so Eo So So So Sa So SO so So so Health 5997 52,289 3755 52,877 52,845 53,835 53,729 54,574 53,198 54,124 56,110 Culture/Recrealion 59,618 516,128 514,842 310,642 512,959 518,827 510,981 532,120 529,462 534,473 E58,113 Welfare Expense So So 5o So So So So so So So so Miscellaneous Exp. So So so So So So So so So So So Transfers Oul 66,361 331,966 56.967 iz,ta7 SO So so 517.000 so so so Capital Outlay 5244,407 5146,419 56,175 516,838 58,717 516,841 584,693 56,553 59,808 58,992 528,137 Debt Service -Gen. 50 SO 50 ~ . SO 50 So 55,835 55,487 55,44fl 55,017 Principal -Gen. so So w so so So So sa,ooo Sa,o~ sa,ooo s4,aoo Interest -Gen. 50 so 50 so So so SO 51,e35 61,467 51,4ae 51,017 _G ~ • • ~' ' ., • Tech~ricalAssistance Developing a User Rate and Fee System Water and Wastewater Assistance Division of Local Government Department of Local Affairs 1313 Sherman St. Rm. 521 Denver, Colorado 80203 (303) 866°2156 a ~ • • ýÿ AN EXERCISE IN DEVELOPING A USER RATE AND r~>N:r; SYSTEM The following series of worksheets were developed to aid those local governments that own and operate water and/or sewer ent.,.r.:ses in defining an adequate user rate that will recover all costs of operations and maintenance, longterm capital needs and debt service. Sample worksheets are provided as a model. Each worksheet is fairly self-explanatory; however, listed below aze brief instructions that outline each worksheet. You may refer to these if necessary. The worksheets were designed to progressively build upon each other, with latter worksheets calling for data generated by earlier worksheets. These worksheets aze available from the Division of Local Government as computer spreadsheet files. Worksheet 1 is a capital inventory list--a separate list each for water and sewer systems. Underneath each line is a description of what in1'~.....ation is required., For example, question number one asks you to enter the number of miles of collection lines and then multiply that by the cost per mile. Enter the result of that calculation on this line. Then enter the remaining life on the line to the right of that answer. Continue to fill in the other blanks like this. You should have a good idea when replacement may occur. Try to use available data l; ~..... your auditor or your best estimate to d.,l~,..uine remaining life of each capital item. Worksheet 2 shows capital improvement requirements for the next five years which may. have been tabulated on worksheet 1. The revenues gen~.al:.d as a direct result of capital improvements will be projected five years also. Under each project description, you may list up to three items per year. Totals (project) is the total of all projections for each year. Under revenues you must list various fees, bond proceeds, transfer funds, or taxes that need to be used in computing the total capital portion user fee revenues. The totals (revenue) line is the • accumulated amount of revenue necessary to be collected per year. Worksheet 3 shows costs of op~,.4Gons, admini~u~lon and debt service and related general revenues projected for each of the next five years. User chazges will be calculated here, so they are not listed in the revenue section. The „r~:.4l:on and maintenance expenses aze divided into four subdivisions: personnel, administrative, operations, and debt service. Under personnel are costs for staff, FICA, insurance, overtime, pensions, and other related costs. Under the administrative heading are blanks for the board expense, consultant, administrative supplies, training, membership, and other related costs. Under the operations heading aze testing, permit, fuel, chemicals, and other miscellaneous costs. Each section is concluded by adding all the numbers and placing the result on the subtotal line. The total O & M line is the result of adding the three subtotals for each yeaz. The debt service section details what type of loans (new and existing) and payments the system requires. The total cost of service is the result of adding debt service to total O & M .The revenues section determines the amount of funding to be generated through user chazges. (The spreadsheet version of this document totals these figures automatically.) Worksheet 4 employs the calculations from the other worksheets to compute the most equitable user charge for inside city users. Each year should be calculated ind:.r:...dently so that customers and board members will know when rates need to be raised and by what amount. The first thing this worksheet does is d;;~:.....ine the number of equivalent 5/8" taps. Then rates are computed for metered customers. Line 1V, A, 3 allows you to calculate a cost per cubic foot, if applicable. Next, the uniform volume rate plus service chazge is calculated by multiplying each the 5/8" service charge by the volume equivalency ratio to determine the appropriate service charge. Then compute rates for unmetered customers. This section follows the same convention as that for the metered customers; however, the equivalency ratio is multiplied by a 5/8" unit rate which yields an annual chazge. There is one sample copy of this worksheet with data filled in for your reference. • -1- ýÿ Worksheets 5 & 6 can be used when calculating sewer plant inv:al...ent fees and rates for outside-city customers. (5) System Buy-in method 1-Enter the original cost, accumulated d:.r.~:,.iation, and net investment (present value _ of investment) for the plant, pumping stations, the collection systems and the general structures. Add each of the columns and enter those numbers on the total line. Accumulated depreciation should be available from your auditor. System Buy-in method 2 -Follow the same instructions as for method 1, except be sure to compute net equity investment instead of outstanding debt. In...~~...ental cost pricing method 1 -First, estimate annual water volume billed for a customer with a 5/8" tap. A regulator can require that a gain or other reduction of net allowable costs be given to customers over firture periods. That would be accomplished, for rate-making purposes, by amortizing the gain or other reduction of net allowable costs over those future periods and reducing rates to reduce revenues in arr~..,l.imately the amount of the amortization. If a gain or other reduction of net allowable costs is to be amortized over future periods for rate-making purposes, the regulated ent.:.r.~se shall not recognize that gain or other reduction of net allowable costs in income of the cu.. ~..1 period. Instead, it shall record it as a liability for future reductions of charges to customers that are ;;,.r,:,cted to result. Compute annual revenue by multiplying the entry on number one by 12.Obtain both projects O & M and total system revenue requirement E~,... worksheet 3. In..,~...ental cost pricing method 2 -Enter estimated cost of future expansion required to serve new customers. Determine average daily capacity of the expansion. (~ Wholesale or outside city rates are applicable when service is provided to customers outside the boundaries of the municipality or district that owns and .,~.:..a.~.~ the utility. These cu.~b,....ers are considered to benon-equity users of the s3 ~I.r,... and, therefore, aze generally assessed a higher fee for service. Under method A compute wholesale or outside charges, by multiplying the fi8ed charge-inside by the multiple (the number entered on question two) to get the fuel chazge-outside, and multiply the volume charge-inside by the multiple to get the volume charge- outside. This helps determine both the fixed and volume charge for outside customers. Under method B determine the r..,r~.,y l:on of users that aze outside the city. First enter the estimated outside volume amount and divide it by the total billable volume and write that number on the ratio line. Worksheet 7 is used to calculate pollutant surchazge rates. Pollutant Surcharge Rates are applicable when i identifiable cu.~lr,...ers dischazge wastewater having conc;,..~~ans of pollkla..l(s) significantly greater than would be found in domestic (residential) wastewater. They are also applicable when identifiable customers discharge the pollutant(s) that require special treatment provisions. Recently, many utilities have been requiring pretreatment of these pollutants by the customer. Surcharge rates for each pollutant can be developed using the four-step method on the worksheet. First determine the annual volume of pollutant to be treated by calculating the unit cost per pound. That number is then used in calculating both the allowable loading and sarchargeable loading of the pollutant. Then by multiplying the snrcha.,;:.~ble loading amount and the unit cost the revenue this will generate can be forecasted.. Worksheet 8 is used to calculate waste control charges. Industrial Waste Control Charges are applicable when a utility has required heavy pollutant discharges to provide a certain level of pretreatment before discharging to the sy~b:,.... These fees are intended to recover the costs of monitoring, sampling and admini~l~,.~ng the pretreatment program. If only a few discharges are subject to the pr:.u:.~.l...ent program, the costs of monitoring and sampling can be billed directly to the «rr.apriate customer. When a utility serves a large number of cu~l.,...ers that p.~,:.:,at prior to discharging to the sy~~~:..., the costs of the IWC proe.a... can be allocated as indicated on the worksheet. The number of 5/8" taps must be first determined. The number of customers is multiplied by the volame equivalency ratio. Then sum the total number of equivalent 5/8" taps. To compute the 5/8" snit rate we multiply estimated cost by total s/8" taps needed. Then multiply the 518" unit rate by the volame egnivaleny ratio to d~~.....ine the IWC charge. Contact the Division of Local Government for assistance in calculating user rates and fees. • -2- Worksheet #1, pg. 1 of 1 • • WATER CAPITAL INVENTORY I. COLLECTION LINES (1- of mll~ x oom per mils) (renasung tae) II. DISTRIBUTION LINES (~ of miles x cost p~ mile) (~~~+8 ~) III. TREATMENT PLAN (rep.:.:. :.~a cost) (r~navm+g ute) IV. RESERVOIR (major dredging, lining, dam reconstruction, etc.) V. WATER TANK (rep[~.~..=.w mot) (~+~ ~e) VI. WELLS/PUMPS (reptaeemem cos[) (-emavar+e lam) VII. DITCHES (replacement cost) (:. ,::.:, , life) VIII. MAJOR EQUIPMENT (Backhoe, Trucks, etc.) (repnem cost) (remaining iae) • ýÿ Worksheet #1, pg. 1 of 1 SEWER CAPITAL INVENTORY i I. COLLECTION LINES (o or muss z wst per mue) (,:., ~..,,~ .~~ ~„ tie) II. TREATMENT PLANT .: mesa east) (rmnaefing me) III. LAGOONS (major dredging, lining, reconstruction, etc.) „r~:.:_ ~+[ nosy lcemeucm9 ~¢e) IV. LIFT STATIONS V. MAJOR EQUIPMENT (Backhoe, Trucks, Aerators, etc.) ~ :.,, ....ant eosq 1,:. ,.w.w.~ iae) • ýÿ - Worksheet #2, pg. 1 of 2 • CAPITAL IMPROVEMENT REQUIREMENT Water Sewer Capital Needs (Summarize projected costs by Year of Project Initiation) t PROJECT DESCRIPTION 1998 1999 Collection Lines 1. 2. 3. Distribution Lines 1. 2. 3. Treatment Plant 1. 2. 3. Reservoir 1. 2. 3. Water Tank 1. 2. 3. Wells/Pumps 1. 2. 3. Ditches 1. 2. 3. Major Equipment (Backhoe, Trucks, etc.) 1. 2. 3. Year 2000 2001 2002 • CAPITAL IMPROVEMENT REQUIREMENT Worksheet #2, pg. 2 of 2 Year PROJECT DESCRIPTION 1998 1999 2000 2001 Lift Shations 1. 2. 3. Lagoons (major dredging, lining, reconstruction, etc.) 1. 2. 3. Meters, Services 8~ Administration 1. 2. 3. Source of Supply (water rights, adjudication, etc.) 1. 2. TOTALS REVENUES 1. Beginning Balance 2. Plant Inve~tr,.~nt Fees 3. Grants 4. New Revenue Bond Proceeds 5. New G.O. Bond Proceeds 6. New Lease/Purchase Proceeds 7 Transfer from 08~M Fund 8. Property Tax 9. Specific Ownership Tax 10.Other 11.TOTALS (Total E Y :...~:..) (Total Reverwea) (Total Capital Partlon User Fee Revenues) 2002 • • • Worksheet #3, pg. 1 of 2 CALCULATION OF THE TOTAL SYSTEM REVENUE REQUIREMENT • Water Sewer Year COST OF SERVICE REQUIREMENT 1998 1999 2000 2001 2002 Operation & Maintenance Expenses: PERSONNEL 1. Office Staff 2. Public Works Staff 3. FICA 4. Health Insurance 5. Workman's Comp. 6. Overtime 7. Pension 8. Other 9. Subtotal ADMINIa i rcATIVE 10. Board Expense 11. Publication Expense 12. Consultant Audit ~. Legal 15. Admin. Supplies 16. Surety/Liability Insurance 17. Training 18. Membership/Dues 19. Mileage 20. Postage 21. Telephone 22. Utilities 23. County Treas. Fees 24. Subtotal OPERATIONS 25. Testing 26. Permit 27. Repairs and Maint -System 28. Repairs and Maint -Plant 29. Repairs and Maint -Vehicles 30. Fuel 31. Chemicals 32. Equip./Supplies 33. Utilities 34. Other 35. Subtotal ~. Totai O 8~ M . . Worksheet #3, pg. 2 of 2 CALCULATION OF THE TOTAL SYSTEM REVENUE REQUIREMENT Year COST OF SERVICE REQUIREMENT 1998 1999 2000 2001 2002 DEBT SERVICE 37. Current Principal Payment 38. Current Interest Payment 39. New Principal 40. New Interest 41. Current Lease Payments 42. Reserve Fund 43. Total Current Capi~l Cost 44. TOTAL COST OF SERVICE Revenues 1. Beginning Balance 2. Property Taxes 3. Availability of Service Fees 4. Sales Taxes 5. Tap and Inspection Fees 6. Sale of Supplies 7. Maps and Publications 8. Interest Income 9. Delinquency Payments 10. Specfic Ownership Tax 11.Other 12. TOTAL REVENUES (Total Costoi3~:: t.:) (total O 8 M User fee Reverwes) (Tama Reverures) t (Total Current Cepiml Parton Utter Fee Revenues) (Total op~. ~ Matra User Fee Reveraaes) (Tt>tai User Fee Reverwea) • • • ýÿ Worksheet #4, pg. 1 of 2 (Sample Data) CALCULATING WATER USER FEES • I. Compute Number of Equivalent 5/8" Taps Volume Tap Number of Equivalency Equivalent Size Customers Ratio 5/8" Taps 5/8" 900 x 1.00 = 900 3/4" 0 x 1.50 = 0 1" 20 x 2.50 = 50 11/2" 30 x 5.00 = 150 2" 25 x 8.00 = 200 3" 25 x 16.00 = 400 TOTAL 1,000 1,700 11. Project Billable Volume Projected volume of water billed (including growth in gallons) 160,000,000 • III. Determine Total Revenue Required from Rates (last item on worksheet #3) $303,500 Enter variable costs (worksheet #3) $64,400 IV. Compute Rates For Metered Customers A. Uniform Volume Rate . 1. $303,500 / 160,000,000 = $0.0019 (RBVemre Requved 1rOm Rates) (Pro)eGetl BlOabte VOltlme) (COSt Per GallOtt) 2. $0.0019 x 1000 ~ _ $1.90 (Cost Per Callon) (Cost Per 70170 Gallons) 3. $0.0019 x 7.48 = $0.0142 (Cost Per Cielbrt) (Cost Per Cd) * 1 Cu. Ft. water = 7.48 gallons 8. Uniform Volume Rate Plus Service Charge 1. Service Charge a. $303,500 - $64,400.00 = $239,100.00 (Revenue Requver] from Rates) (VarialNO l:oatsp (Faetl Costs) b. $239,100.00 / 1,700 = $140.65 (Fbretl Costs) (5!8" Egwvalent Taps) (518" Service Charge) c. $140.65 x 1.5 = $210.97 (5/8" Servrce Charge) (3/a" Equrvalenry Raao) (3la" Service Charge) `Variable costs can include utilities, repairs, fuel, supplies, etc. which may change from year to year. Worksheet #4, pg. 2 of 2 (Sample Data) CALCULATING WATER USER FEES $140.65 x 2.5 = $351.62 (5-8- senrke charge) ('- Ea~valaner ~) (,- service charge) $140.65 x 5 = $703.24 (518' Sella Charge) (, Ire Eqr: .::.., Rath) (, Ire Service Ctuvge) $140.65 x 8 = $1,125.18 (sra- service merge) (r Equivalency Ratio) (2- service merge) $140.65 x 16 = $2,250.35 (519- service cr,sree) (~" ~) (3° servroe crrarge) 2. Uniform Volume Rate a. $64,400.00 / 160,000,000 = $0.0004 (Vartabls Costar (C .;:..~: ! B~eble Votume) (Cost Per Cellar) b. $0.0004 x 1000 = $0.40 (Cat PK (iallan) (Cat Pet 1 WO CiaUars) c. $0.0004 x 7.48 = $0.0030 ((:oat PBt CBOOn) (t;Oet Pet Cef) V. Compute Rates for Unmetered Customers a. $303,500 / 1,700 = $178.53 (Revenue RequVeE frarr Rates) (518" Equivalent Taps) (5JB-Unit Rate) b. $178.53 x 1.5 = $267.79 (518- urot Rate) (3/4• Egr ° ,:.:. .. Ratio) Cdl4- Mraml Charge) $178.53 x 2.5 = $446.32 (Sre- unu Rate) (, • Egrarvalerwy Rath) (,-anruml ctra~) $178.53 x 5 = $892.65 (519- urn Rate) (, tre Equlvalerrcy Ratio) (~ ,re nnnuat charge) $178.53 x 8 = $1,428.24 (5J8- Urdt Rate) (Y Eqt:.):. ,, Ratb) (2" pvtncral Charge) $178.53 x 16 = $2,856.47 (5J8- Utrit Rate) (3" EqY ~) (3" Mrarel charge) • • Worksheet #4, pg. 1 of 2 CALCULATING WATER USER FEES I. Compute Number of Equivalent 5/8" Taps Tap Number of Size Customers 5/8" 3/4" 1" 1 1/2" 2" 3" TOTAL Volume Equivalency Ratio x 1.00 = x 1.50 = x 2.50 = x 5.00 = x 8.00 = x 16.00 = 11. Project Billable Volume Projected volume of water billed (including growth in gallons) • III. Determine Total Revenue Required from Rates (last item on worksheet #3) Enter variable costs (worksheet #3) IV. Compute Rates For Metered Customers A. Uniform Volume Rate 1. / _ (Revenue RequireC from Rates) (Pro)eUetl Billable Volume) 2. x 1000 = (Cost Per GaDOn) 3. x 7.48 = (Cost Per GeOOn) * 1 Cu. Ft. water = 7.48 gallons B. Uniform Volume Rate Plus Service Charge 1. Service Charge a. - _ (Reverwe Requaed dom Rates) ryartaws t.ostsp b. / _ (Fbcetl Costa) (liB° Equivalem Tacos) c. x 1.5 = • (5l8" Sefvice Charge) (3l4' Eqt, .~:. ,.,; Redo) * Variable costs can include utilities, repairs, fuel, supplies, etc. which may change from year to year. Equivalent 5/8" Taps (Cost Per Gallon) (Cost PBr 111110 l'aaOOnS) (cost P~ ca) (Fbceo Costs) (3/4° Se:vite Charge) ýÿ Worksheet #4, pg. 2 of 2 CALCULATING WATER USER FEES x 2.5 (stir service Charge) (, • Egrdvalenatr Rao) x 5 (SB' Service Charge) (, 12' E4uivalerwY Ratio) x 8 (Sl8" Service comge) (z" EgWVaierwy RBIID) x 16 (5B" settles ) (a° E tiao) 2. Uniform Volume Rate a. (Variable coast b. x ((:Oel Per Geearr) c. x (Cost P~ Gallal) V. Compute Rates for Unmetered Customers a. I (Rever.,a Required fraa ) b. x (sls una Rate) x (5J8° Urrit Rate) x (518' Unit Rate) x (sle- una Rate) x (5!8' Urrk Rate) • (,° sense ~) (, 12' Service Charge) (2' v :. '.: charge) (a- se,v~e coarse) (P .; :..:: i HiOable Voaane) (Cost Per GeDon) 1000 = (cast Per,ooo Gallons) 7.48 = (cast Per Ccn (sre' Egrtivalent Taps) (518" tlru7 Rate) 1.5 = cam' Equi,raterroy Retb) (ala• nmuat ) 2.5 = (,~ Equiyaterwy Ratio) (, ~ Natrel C.', ~~. b :, 5 = (, 1/2'Eq~' ,~.~:. .. Rath) (, 12',NvamlClterge) 8 = (2- Equivalency ~) (r Mnrsl ) 16 = (3" Equivalerwy Ratio) (3" Mnual Charge) • ýÿ Worksheet #4, pg. 1 of 2 CALCULATING SEWER USER FEES • 1. Compute Number of Equivalent 518" Taps Volume Tap Number of Equivalency Size Customers Ratio 5/8" x 1.00 = 3/4" x 1.50 = 1" x 2.50 = 1 1/2" x 5.00 = 2" x 8.00 = 3" x 16.00 = TOTAL I1. Project Billable Volume Projected volume of water billed (including growth in gallons) • Iii. Determine Total Revenue Required from Rates (last item on worksheet #3) Enter variable costs (from worksheet #3) N. Compute Rates For Metered Customers A. Uniform Volume Rate 1. / _ (Revenue Requved from Rates) (ProjeGed Billable volume) 2. x 1000 = (1:0& Pet (ae0bn) 3. x 7.48 = (Co!R Pet Gapon) * 1 Cu. Ft. water = 7.48 gallons B. Uniform Volume Rate Plus Service Charge 1. Service Charge a. - _ _ (Revenue RBquved trap Rates) (Vartabla Gosta)• b. / _ (Fbted L'osb) (5/8" Egwvalent Taps) * Variable costs can include utilities, repairs, fuel, supplies, etc. which may change from year to year. Equivalent 5/8" Taps ((:Oet Per Cia00n) (COSt Per 100171a8110n3) (cost Per l;eq (Fixed Costs) (5/8' Setwce Cnarge) Worksheet #4, pg. 2 of 2 CALCULATING SEWER USER FEES c. x 1.5 (5l8° Service Charge) (3/4' Equivelenq Ratio) x 2.5 (5l8" „~:. ..: Charge) (," Egtdvaleru3r tiatb) x 5 (sa' service charge) n yr Equivalarw~ Ratb> x 8 (ya- servxe Charge) (z' Equivalency Nano) x 16 (~" ) (3° E4urveterx.Y Reib) 2. Uniform Volume Rate a. (Variable Coate)' b. x (cost Per (ielbrl) c. x (C09t Per (iaDOh) V. Compute Rates for Unmetered Customers a.. (Revenue RegWred from Rates) b. x (srs-urot Rata) x (~" unit Rata) x (sre' Und Rate) x (s)a" and rta<a) x (=,~e- umt Ram) (Projected Bible Vodane) 7.48 (s/8' Equtvatent Tees) 1.5 (3/4' Equh,::,:, ., Ratio) 2.5 (1" EquFaleruy Ratio) 5 (, trz' Equ(valerwy Ratio) 8 (2" Equivelemy Ratro) 16 (3'Egr.' ,:~.. ~.; Raft) (3/4" S~vice Charge) (, ,rz' charge) (r' serve ctrarge) (Cost Per GSelfort) ((:oat PBr 71100 (sallDn3) (Coat P~ Cct) (s+a' tmd rb~te) (~+4• ) (1' Aruurel Charge) (, ,2'Arvpial wru,ry, (2" Amaral Charge) (3' Annual Charge) • • • Worksheet #5, pg. 1 of 4 (Sample Data) CALCULATION OF PLANT INVESTMENT FEES -SEWER UTILITY •A. System Buy-In Method 1 1. Compute net investment in plant facilities* Original Accumulated Net Cost Depreciation Investment Source of Supply $3,000,000 $800,000 $2,200,000 Treatment & Pumping $5,000,000 $1,400,000 $3,600,000 Transmission System $3,000,000 $600,000 $2,400,000 General Structures $1,000,000 $200,000 $800,000 Total $12,000,000 - $3,000,000 = $9,000,000 2. Determine portion of outstanding debt related to these facilities $7,000,000 3. Compute Total Net Equity Investment (Subtract Line 2 from Line 1) $2,000,000 4. Determine number of 5/8" equivalent customers (from worksheet 4) 1,700 5. Compute Average Net Equity per 5/8" equivalent (Divide line 3 by Line 4) $1,176 • 6. Develop a Plant Investment Fee Schedule based on meter capacity: Volume Plant Tap Equity per Equivalency Investment Size 5/8" Equivalent Ratio Fee 5/8" $1,176 x 1.00 = $1,176 3/4" $1,176 x 1.50 = $1,765 1" $1,176 x 2.50 = $2,941 11/2" $1,176 x 5.00 = $5,882 2" $1,176 x 8.00 = $9,412 3" $1,176 x 16.00 = $18,824 B. System Buy-In Method 2 1. Compute net investment in plant facilities* Original Accumulated Net Cost Depreciation Investment Source of Supply $3,000,000 $800,000 $2,200,000 Treatment 8~ Pumping $5,000,000 $1,400,000 $3,600,000 Transmission System $3,000,000 $600,000 $2,400,000 General Structures $1,000,000 $200,000 $800,000 Total $12,000,UOU - $3,000,000 = $9,000,000 • * Exclude lateral sewers and other on-site facilities, assuming the new customers will be paying for such facilities directly. Worksheet #5, pg. 2 of 4 (Sample Data) CALCULATION OF PLANT INVESTMENT FEES -SEWER UTILITY • C. 2. Determine portion of outstanding debt $7,000,000 related to these facilities 3. Compute Total Net Equity Investment $2,000,000 4. Determine average daily capacity of the system (gpd) 800,000 5. Compute average equity per capacity unit (Divide Line 3 by Line 4) $2.50 6. Estimate average daily capacity requirement for an average 5/8" equivalent resident customer 500 7. Compute Plant Investment Fee for 5/8" equivalent residential customer (gpd) $1,250 8. Develop a Plant Investment Fee Schedule based on meter capacity: Volume Plant Tap Equity per Equivalency Investment Size 5/8" Equivalent Ratio Fee 5/8" $1,250 x 1.00 = $1,250 3/4" $1,250 x 1.50 = $1,875 1" $1,250 x 2.50 = $3,125 11/2" $1,250 x 5.00 = $6,250 2" $1,250 x 8.00 = $10,000 3" $1,250 x 16.00 = $20,000 or 8. If preferred, repeat steps 6 and 7 for Commercial, Industrial and/or Agricultural customers. Incremental Cost Pricing Method 1 1. Estimate Annual Water Volume billed fora 5/8" customer (gal) 182,500 2. Compute annual revenue under effective rates for a typical 5/8" residential customer $215.48 3. Total projected OEM and additional balance (Vorksheet 3) $276,500 4. Total system revenue requirement (last item on Worksheet 3) $575,500 5. Divide Line 3 by Line 4 48.~ ýÿ Worksheet #5, pg. 3 of 4 (Sample Data) • CALCULATION OF PLANT INVESTMENT FEES -SEWER UTILITY 6. Multiply Llne 2 by Line 5 $103.53 7. Compute revenue available to service new debt $111.95 (Subtract Line 6 from Line 2) 8. Compute level of New Debt that can be serviced per 5/8" equivalent customer a. estimate term in years 20 b. estimate annual interest rate 10% c. compute amortization factor'' 0.48644 ' Assuming equal annual payments this factor may be computed as: where a =the value on Line 8a 1 where b =the value on Line 8b 1 - (1 + b)a b d. compute level of additional debt (multiply Line 7 by Line 8c) $54 9. Estimate Total Investment in new facil'fies $800,000 • 10. Estimate number of new 5/8" equivalent customers 300 11. Compute average new investment per new 5/8" equivalent customer (Divide Line 9 by Line 10) $2,667 12. Compute 5/8" equivalent Plant Investment Fee (Subtract Line 8d from Line 11) $2,612 13. Develop a Plant Investment Fee Schedule based on meter capacity: Volume Plant Tap Equity per Equivalency Investment Size 5/8" Equivalent Ratio Fee 5/8" $2,612 x 1.00 = $2,612 3/4" $2,612 x 1.50 = $3,918 1" $2,612 x 2.50 = $6,531 11/2" $2,612 x 5.00 = $13,061 2" $2,612 x 8.00 = $20,898 3" $2,612 x 16.00 = $41,795 "8c calculates the payment amortization factor by adding 1 to the annual interest rate, then raising it to the power of the number of years the debt will be outstanding. Next, it is divided by 1 and the resulting . number is then divided by the interest rate. Last, the result of those calculations will be subtracted from (The number used for principal is found on D, 1, and interest and term are found on 8a and 8b.) ýÿ Worksheet #5, pg. 4 of 4 (Sample Data) CALCULATION OF PLANT INVESTMENT FEES -SEWER UTILITY . D. Incremental Cost Pricing Method 2 1. Cost of recent system expansion or estimated cost of future expansion required to serve new customers $800,000 2. Determine average daily capacity of the expansion (gpd) 200,000 3. Compute average cost per capacity unit (gpd) (Divide Line 1 by Line 2) ~ 4. Estimate average daily capacity requirement for an average (gpd) 5/8" equivalent residential customer 500 5. Compute Plant Investment Fee fora 5/8" equivalent residential customer (Multiply Line 3 by Line 4) $2,000 6. Develop a Plant Investment Fee Schedule based on meter capacity: Volume Plant Tap Equity per Equivalency Investment Size 5/8" Equivalent Ratio Fee 5/8" $2,000 x 1.00 = $2,000 3/4" $2,000 x 1.50 = $3,000 1" $2,000 x 2.50 = • $5,000 11/2" $2,000 x 5.00 = $10,000 2" $2,000 x 8.00 = $16,000 3" $2,000 x 16.00 = $32,000 or 6. If preferred, repeat steps 4 and 5 for Commercial, Industrial and/or Agricultural customers. ýÿ ' , ' Worksheet #5, pg. 1 of 4 CALCULATION OF PLANT INVESTMENT FEES -SEWER UTILITY System Buy-In Method 1 1. Compute net investment in plant facilities* Original Accumulated Cost Depreciation Source of Supply Treatment & Pumping Transmission System General Structures Total - _ 2. Determine portion of outstanding debt related to these facilities 3. Compute Total Net Equity Investment (Subtract Line 2 from Line 1) 4. Determine number of 5/8" equivalent customers (from worksheet 4) 5. Compute Average Net Equity per 5/8" equivalent (Divide line 3 by Une 4) • 6. Develop a Plant Investment Fee Schedule based on meter capacity: Volume Tap Equity per Equivalency Size 5/8" Equivalent Ratio 5/8" x 1.00 = 3/4" x 1.50 = 1" x 2.50 = 1 1/2" x 5.00 = 2" x 8.00 = 3" x 16.00 = B. System Buy-In Method 2 1. Compute net investment in plant facilities* Original Accumulated Cost Depreciation Source of Supply Treatment ~ Pumping Transmission System General Structures Total - _ Net Investment Plant Investment Fee Net Investment • * Exclude lateral sewers and other on-site facilities, assuming the new customers will be paying for such facilities directly. ýÿ Worksheet #5, pg. 2 of 4 CALCULATION OF PLANT INVESTMENT FEES -SEWER UTILITY C. 2. Determine portion of outstanding debt related to these facilities 3. Compute Total Net Equity Investment 4. Determine average daily capacity of the system (gpd) 5. Compute average equity per capacity unit (Divide Line 3 by Line 4) 6. Estimate average daily capacity requirement for an average 5/8" equivalent resident customer 7. Compute Plant Investment Fee for 5/8" equivalent residential customer (gpd) 8. Develop a Plant Investment Fee Schedule based on meter capacity: Volume Tap Equity per Equivalency Size 5/8" Equivalent Ratio 5/8" x 1.00 3/4" x 1.50 1" x 2.50 1 1/2" x 5.00 2" x 8.00 3" x 16.00 or 8. If preferred, repeat steps 6 and 7 for Commercial, Industrial and/or Agricultural customers. Incremental Cost Pricing Method 1 1. Estimate Annual Water Volume billed fora 5/8" customer 2. Compute annual revenue under effective rates for a typical 5/8" residential customer 3. Total projected O&M and additional balance (Worksheet 3) 4. Total system revenue n:quirement (last item on Worksheet 3) 5. Divide Line 3 by Line 4 Plant Investment Fee • r • ýÿ Worksheet #5, pg. 3 of 4 CALCULATION OF PLANT INVESTMENT FEES -SEWER UTILITY 6. Multiply Llne 2 by Line 5 7. Compute revenue available to service new debt (Subtract Line 6 from Line 2) 8. Compute level of New Debt that can be serviced per 5/8" equivalent customer a. estimate term in years b. estimate annual interest rate c. compute amortization factor* * Assuming equal annual payments this factor may be computed as: where a =the value on Line 8a 1 where b =the value on Line 8b 1 - (1 + b)a b d. compute level of additional debt (multiply Line 7 by Line 8c) 9. Estimate Total Investment in new facilities 10. Estimate number of new 5/8" equivalent customers 11. Compute average new investment per new 5/8" equivalent • customer (Divide Line 9 by Line 10) 12. Compute 5/8" equivalent Plant Investment Fee (Subtract Line 8d from Line 11) 13. Develop a Plant Investment Fee Schedule based on meter capacity: Volume Plant Tap Equity per Equivalency Investment Size 5/8" Equivalent Ratio Fee 5/8" x 1.00 = 3/4" x 1.50 = 1" x 2.50 = 1 1/2" x 5.00 = 2" x 8.00 = 3" x 16.00 = *8c calculates the payment amortization factor by adding 1 to the annual interest rate, then raising it to the power of the number of years the debt will be outstanding. Next, it is divided by 1 and the resulting number is then divided by the interest rate. Last, the result of those calculations will be subtracted from (The number used for principal is found on D, 1, and interest and term are found on 8a and 8b.) Worksheet #5, pg. 4 of 4 CALCULATION OF PLANT INVESTMENT FEES -SEWER UTILITY D. Incremental Cost Pricing Method 2 1. Cost of recent system expansion or estimated cost of future expansion required to serve new customers 2. Determine average daily capacity of the expansion (gpd) 3. Compute average cost per capacity unit (gpd) (Divide Line 1 by Line 2) 4. Estimate average daily capacity requirement for an average (gpd) 5/8" equivalent residential customer 5. Compute Plant Investment Fee fora 5/8" equivalent residential customer (Multiply Line 3 by Line 4) 6. Develop a Plant Investment Fee Schedule based on meter capacity: Volume Tap Equity per Equivalency Size 5/8" Equivalent Ratio 5/8" x 1.00 = 3/4" x 1.50 = 1" x 2.50 = 11/2" x 5.00 = 2" x 8.00 = 3" x 16.00 = or 6. If preferred, repeat steps 4 and 5 for Commercial, Industrial and/or Agricultural customers. Plant Investment Fee • • ýÿ Worksheet #6, pg. 1 of 2 • CALCULATING SEWER RATES FOR WHOLESALE OR OUTSIDE CITY CUSTOMERS The rates for wholesale or outside city customers can be computed using either of the two methods presented below: Method A -Retail or Inside City Multiple 1. Determine revenue required from rates for retail users (Worksheet #4) Fixed costs $tyr Volume charge $/Mg 2. Determine applicable multiple (typically in the range of 115% -135%) Multiple 3. Compute wholesale or outside city rate x = ( c-+~-i~> () c~a cam) x = . (Volume c-+erge-Ir~slde) (Mulf~te) Noq~me Charge-Ouse) Method B -Utility Basis 1. Compute ratio of outside city billable volume to total billable volume / _ (Estlmated Outstde Voitmte) (total Bimble volume) (ReVo) 2. Allocate appropriate 08~M costs to outside city customers (Line 36, Wksht #3) x = (Toms Dare wsts> (tiatie) (outside cry snare or oaluq 3. Allocate appropriate depreciation costs x = (Total Dir. ~..w.an) (Ratio of Billable Volume) (Outside C'dy Share of C: ~ :.,::ron) 4. Determine allocated return on rate base A. Determine Rate Base: Gross Assets Inventory less: accumulated depreciation less: contributions Rate Base • B. Determine reasonable rate of return as weighted average cost of debt ýÿ Worksheet #6, pg. 2 of 2 CALCULATING SEWER RATES • FOR WHOLESALE. OR OUTSIDE CITY CUSTOMERS 1. Estimate market rate on G.O. Bonds 2. Compute outshanding long-term debt Amount Annual Outstanding Payment Existing Debt Proposed Debt Lease Agnrements Su4lt/lal 3. Compute System Equity (Rate Base) (SubtUal L-T Debt) (~.u, ..,:: E4~Y) 4. Compute total return on rate base x = (System Equity) (G.O. Bond Rate) (Capital Regan) t = (CepRal Ream) (Mnual Payment L-T Debt) (rota! Return on C. Compute allocated return on rate base x = (rma- Return at Rate Base) (Ratio of Btaabie volume) (aaeatea share of Return on Rate Base) D. Compute Total Outside Ciiy Customer Revenue Required cou<side cny share or Dana) (total r :,. , .,... , (Albeated Return on Rate Base) (rota) Revemie Required) E. Compute Outside City User Charges Use the total revenue requirement computed above as input to Section III of Worksheet #4 making adjustments in Sections I and II to reflect only Outside City customers and volumes. • ýÿ ., ~ Worksheet #7, pg. 1 of 1 • ~ CALCULATION OF POLLUTANT SURCHARGE RATES 1. Identify Surchargeable Pollutant (BOD, TSS, Phos, Lead, etc.) 2. Estimate Average Unit Cost of Treatment A. Costs directly attributable to treatment B. Projected annual volume of pollutant to be treated (Ibs.) C. / _ /Ib. (Cost of Treatrnert) Volume) (unit cost) 3. Projected Surchargeable Pollutant Loadings A. Estimate allowable pollutant concentration in domestic sewage (ppm) B. x = (rro~eae" uomes~ voiuma~ (v . .:. ~ ,~., .~_/ trurorrao~ a .......al (TOtalLOading) (AUOwabie Loatlialg) (Surchargeable Loatlhtg) 4. Projected Revenue from Surcharge Rates x = • c~ ~.a.n~ ~oadlne) cuhn c;oet) ctze~m,e) This revenue should be recognized on Worksheet #3, line 11 of the Revenues section as "other " revenue. It will be used to offset the total revenue required from rates. • ýÿ .. - • CALCULATION OF INDUSTRIAL WASTE CONTROL CHARGES 1. Estimate Total Costs of Monitoring, Sampling and Administering the IWC Program 2. Determine the number of participating equivalent taps Tap Number of Equivalency Equivalent Size IWC Customers Ratio 5/8" Taps 5/8" x 1.00 = 3/4" x 1.50 = 1" x 2.50 = 11/2" x 5.00 = 2" x 8.00 = 3" x 16.00 = TOTAL 3. Compute Unit Charge per Equivalent 5/8" Tap / _ cEsthnatec coat) 4. Develop an IWC Rate Schedule Tap Size 5/8" 3/4" 1" 1 1/2" 2" 3" 5/8" Unit Rate (Equivalent 518' TeP) Volume Equivalency Ratio x 1.00 = x 1.50 = x 2.50 = x 5.00 = x 8.00 = x 16.00 = c5B- utut r~aoa~ IWC Charge TOTAL Worksheet #8, pg. 1 of 1 • • • ýÿ O D O ~~ TOWN QF ERASER "Icelio$ of the Nation"' P.O. Box 120 / 153 Fraser Avenue Fraser, Colorado 80442 i ~p - (970) 726-5491 FAX Line:. (970) 726-5518 , To: Mayor Jeff Johnston and the Board of Trustees of the Town of eraser From: Nat Wavens ~" Date: 18 August 1999 Topic: Why Y2K? . ' ~ _ _ CC: Chink Reid, Town Manager . ~ , 4j t.=, Once again it is not my intention to overwhelm you with information or dazzle you with sheer poundage - I have enclosed what l have found to be the most comprehensive and useful. informs#ior~ on the Y2K situation. This packet • contains a lot of information that is more applicable to larger cities and. cities in different climate zones, but -has a lot' of fodder for the imagination which is relevant to our small town, 1 will be helping all of the: staff at th® Town to identify -the °mission critical" areas ~, and ,functions of their job duties: Once identified t will assist the departments with ~~~ identifying solutions and alternate ways of performing these dutiesffunctions. We will-also dev®top programs to be instituted so the Town can,. perform it's normal operations .without interruption should there be any adverse effects associated to the YZK bug. , -~. ,~ The BIG question I ask the' Board to consider is; what is the role of government in the preparation for Y2lC as far .as the community is concerned? What _, . direction/actions do you want the Town to take? What resources are you, willing to allocate? These are very big questions.- and I don't' mean to creates any hysteria over the u n what ifs, but as any boy scout will tell you -preparation, preparation, ~' .preparation! ;. ýÿ For more than 100 years, the American Red Cross has been at the cutting edge of disaster relief activities, helping people prevent, r.~rr..~ for, and cope with disasters and othera,; emergencies. We're in your neighborhood every day, providing disaster preparednessr; ~ information and teaching classes in First Aid and other lifesaving skills, to help keep:::( families like yours safe. That's why the Mile High Chapter of the American Red Cross has .:-; published the foIlowing information about the year 2000 (Y2K}-its potential effects an~';`< what you can do to be r.•;r~..~,d. - ~~'". -' WHAT IS YSK AND WHY The Year 2000 technology problem was created in the early days of c,....r~tters when memory in c,...~raters was scazce and e~r",sive. Proa.~.,mers took shortcuts whenever possible to save space. In- stead of using a four-digit code for year dates, atwo-digit entry was used. The two-digit code was also used in embedded chips, which exist in many devices that control processes, functions, machines, building ventilation systems, elevators, and fire and security alarms, which are part of our everyday lives. When the year 2000 comes, programs that have been coded with two-digit year codes will not distinguish between the years 2000 ARE PEOPLE CONCERNED? and 1900. ff the program includes time-sensitive calculations or comparisons, results are unpredictable. No one knows what prob- lemsmay occur, how widespread they maybe, or how long they will last. The good news is that federal, state and local governments; banks and other financial institutions; retail businesses and ether groups affected by this problem have been working towazd resolu- tion and a great deal of progress has been made. Most people anticipate Y2K problems on December 31, 1999, at midnight. Many experts predict that the problem is more likely to be a persistent one over a span of time rather than a single "crash:' WHAT KINDS OF THINGS COULD HAPPEN AS A RES~lLT OF YSK PROBLEMS? No one knows the potential effect of the Y2K technology problem on utilities and the national power grid, international banking and finance, health care, transportation, telecommunications, pension and mutual funds, emergency planning and general business. The situation continues to change as businesses, industries and federal, state and local governments, as well as the general public, take actions to reduce the problem. There may be localized disruptions. For example, in some areas, electrical power may be unavailable for some time. Manufacturing and production industries may be dis- • rupted. Roads may be closed or gridlocked if traffic signals aze disrupted. Electronic credit card transactions may not be processed. Telephone systems may not work. Because no one can be certain about the effects of the Y2K problem, the American Red Cross has developed the following information for you. These are some easy steps you can take to prepare for any potential problem whether it be loss of power due to a winter storm orY2K. American Red Cross Mile High Chapter Headquarters 444 Sherman Street Denver, Colorado 80203 (303)722-7474 ~ 1 , ti ~ ~ ~ • • • 1 YZKCNECKLIST ^ Stock disaster supplies to last at least 72 hours for your household. This includes nonperishable foods, stored water, and an ample supply of prescription medications and nonprescription medications that you regularly use. ^ As you would in preparation for a storm of any kind, have some extra cash on hand in case el:,.,:.~...ic transactions involving ATM cards, credit cards, and the like cannot be processed. Plan to keep cash in a safe place, and withdraw money from your bank in small amounts, well in advance of December 31, 1999. same goes for wood-burning or liyuid-fueled heating devices that are not designed to be used in a residential structure. Camp stoves and heaters should only be used outdoors in swell-ventilated area If you purchase an attemative heating device, make sure it is approved for use indoors and is listed with the Underwriters Laboratories (LJL). ^ Have plenty of flashlights and extra batteries on hand. Don't use cactdles for emergency lighting. ^ Examine your smoke alamis now. If you have smoke alarms that are hard- wired into your home's electrical system (most newer ones are), check to see if they have battery backups. system. Keep a generator in a well- ventilated area either outside or in a garage with the door open. Don't put a generator in your basement or anywhere inside your home. ^ Check with the emergency serv~ providers in your community to see if there is more information available about how your community is preparing for any potential problems. Be an advocate and support efforts by your local police, fine, and emergency management officials to ensure that their systems will be able to operate at all times. ^ Keep important family documents in a waterproof container. ^ Similar to preparing for a winter storm, it is suggested that you keep your automobile gas tank above half full. ^ In case the power fails, plan to use attemative cooking devices in accordance with manufacturer's instructions. Never use open flames or charcoal grills indoors. ^ Have extra blankets, coats, hats, and gloves to keep warm. Don't use gas- fueled appliances, like ovens, as alternative heating sources. The SuPPL1E5 There are six basics you should stock in your home: ^ Water ^ Food ^ Ready-to-eat canned meats, fruits and vegetables ^ Canned juices, soup, mills (if powdered, store extra water) ^ Staples -sugar, salt, pepper ^ 1-Iigh energy foods -peanut butter. jelly, crackers, granola bars, trail mix ^ Vitamins ^ Foods for infants, elderly persons or persons on special diets ^ Comfort/stress foods • cookies, hard candy, sweetened cereals, lollipops, instant coffee, tea bags ^ First aid supplies ^ Clothing and bedding ^ Tools and emergency supplies ^ Special items ^ Be prepared to relocate on your own to a tempotary shelter for warmth and protection during a prolonged power outage or if for any other reason local officials request or require that you leave your home. Listen to a battery-.,r:..ated radio for informa- tion about c.,......unity shelters. ^ If you plan to use a r...wble genera- tor, connect appliances directly to the generator, do not connect the generator to your home's electrical ^ Check with manufacturers of computer-controlled electronic equipment in your home to see if that equipment may be affected by Y2K. This includes fine and security alarm systems, programmable thermostats, appliances, consumer ele.,:..,..ics, garage door openers, ele~.u.,.,ic locks, and any other equipment in which an "embedded chip" may control its ~r;.,.ztion. DISASTER SUPPLIES KIT EMERGENCY ITEMS ^ Medical supplies and fast-aid kit and manual ^ Portable radio, flashlights and extra batteries ^ Shovel and other useful tools ^ Money and matches in a wat~.r~~.of container ^ Fire extinguisher ^ Blankets and extra clothing ^ Infant and small children's needs (if appropriate) ^ Manual can opener SANITATION ^ Toilet paper, towelettes ^ Soap, liquid detergent ^ Feminine supplies ^ Personal hygiene items ^ Plastic garbage bags, ties (for personal sanitation uses) ^ Plastic bucket with tight lid ^ Disinfectant ^ Household chlorine bleach SUGGESTIONS AND REMINDERS ^ Store your disaster supplies kit in a convenient place known to all family members. ^ Keep items in air-tight plastic bags. ^ Change your stored water supply every six months so it stays fresh. ^ Rotate your stored food every six months. ^ Re-think your kit and family needs at least once a year. Replace batteries, update clothes, etc. ^ Ask your physician or pharmacist about storing prescription medications. ýÿ ' ~ STORAGE TIPS FOOD - ^ Keep food in a dry, cool spot a ^ Inspect all food for signs of spoilage dark area if possible. before use. ^ Keep food covered at all times. ^ Open food boxes or cans carefully and close them tightly after each use. ^ Wrap cookies and crackers in plastic bags and keep them in tight containers. ^ Empty opened packages of sugar, dried fruits and nuts into screw-top jars or airtight cans to protect them from pests. NOW TO STORE WATER ^ Use foods before they go bad and replace them with fresh supplies, dated with ink or marker. Place new items at the back of the storage area and older ones in front. ^ Select foods that require no refrigera- tion, preparation or cooking and little or no water. Select food items that are compact and lightweight. Store your water in thoroughly washed plastic, glass, fiberglass or enamel-lined metal containers. Never use a container that has held toxic substances. Plastic containers, such as soft drink bottles, are best. You can also purchase food- grade plastic buckets or dnuns. Seal water containers tightly, label them and store them in a cool, dark place. Rotate water every six months. NUTRITION TIPS During and right after a disaster, it will be vital that you maintain your strength. So remember: ^ Eat at least one well-balanced meal a day. ^ Drink enough liquid to enable your body to function r...Y:.rly (two quarts a day). ^ Take in enough calories to enable you to do any necessary work. A normally active person needs to drink at least two quarts of water each day. Hot environments and intense physical activity can double that amount. Children, nursing mothers and ill people will need more. • Store one gallon of water per person per day (two quarts for drinking, two quarts for food preparation/ sanitation) • Keep at least athree-day supply of water for each person in your household. IF TIME ELECTRICITY GOES OFF... First, use perishable foods and foods from the refrigerator. Then, use the foods from the freezer. To minimize the number of times you open the freezer door, post a list of freezer contents on it. In swell-filled, well- insulated freezer, foods will usually still have ice crystals in their centers (meaning foods are safe to eat) for at least three days. ^ Include vitamin, mineral and protein Finally, begin to use nonperishable foods and staples. supplements in your stockpile to assure adequate nutrition. • SNELF-LIFE OF FOODS FOR STORAGE Here ore some general guidelines for rotating common emergency foods. ^ Use within six months: Powdered milk (boxed) Dried fruit (in metal container) Dry, crisp crackers (in metal container) Potatoes ^ Use within one year: Canned condensed meat and vegetable soups Canned fruits, fruit juices and vegetables ro,,,, _ - c~b - .4QU7 , ~•.s'e Ready-tout cereals and uncooked instant cereals (in metal containers) Peanut butter ~'-' Jelly Hard candy and canned nuts Vitamin C -. ^ May be stored indefinitely (in ~~ proper containers and condi- tions): -. . Wheat Vegetable oils Dried com Baking powder Soybeans Instant coffee, tea and cocoa Salt Noncarbonated soft drinks White rice Bouillon products ~YPasm Powdered milk ýÿ GENERAL FAMILY SAFETY TIPS ^ Post emergency telephone numbers by phones (fire, police, ambulance, etc.). ^ Teach children how and when to ca11911 or your local Emergency Medical Services number for emergency help. ^ Show each family member how and when to tum off the water, gas and electricity at the main switches. .~~ ^ Install battery-operated orbacked-up smoke detectors on each level of your home, especially near bedrooms. ^ Stock emergency supplies and assemble a Disast~' Supplies Kit. ^ Take a Red Cross first aid and ern class. ^ Teach each family member how to use the fire extinguishers (ABC type), and show them where they are kept. American Red Cross Mile High Chapter Headquarters 444 Sherman Street Denver, Colorado 80203 We'll Be There! • w~a w a~ V N ~~ V ' ~~ ~ O A y3 y ~. 13 ~ t ~ 8 i f ~r < r _ ,', h ak', ~: ~ t ~_ 1 ~~ 1 .yam ~ _~ ~~ } ` ~y~. ~'-,il ~ , ; ..~; ~ ~% h i' ~) ~'S'' i~ I , t.. '.. +. .1~2 Fliy"~ F ~ -Q,.s 4 ;, g . i ~ , fie. 5~ ~ ,' F Z ~~. ,~ ~,~ ~ ,3: ?~ c 5 4is ~1~ r ~~.. y~•. 7 y ~ ~ { ~%:_ ~~~7 1 ~~~ 1 _ ~ J ~f ~ i ~ F f } 1 f 4t ~ ~ ~. .. ... '., f~ ~E, ~' '°C'~3 Prepared forthe members of National League of Cities Risk Information Sharing Consortium o~ati ~eagun c fC, ;~<>•. s March 1999 ~~ iii ~• T924 , ,F~ y~ 1999 O ~,~~ mac. ~' ~ ~• r`' ~~" ''r1' ~Patlersh~P•G~ • Y2KContingency Planning Guidebook TABLE OF CONTENTS Table of Contents Preface Tab 1 Acknowledgements Disclaimer Resource Materials about ~ Tab 2 Y2I[Contingency Planning for Local Government Operations • Y2I[Contingency Planning Tab 3 Templates for Local Government Operations • Y2If Contingency Planning Tab 4 Guidelines for Local Government Operations Resource Materials about Personal Tab 5 Y2If Contingency Planning Internet Resources for Tab 6 YZKProblems and Contingency Planning National League of Cities, Risk Infom~atlon Sharing Consortium • Y2KContin enc Plannin Gui b g y g de ook About the NATIONAL LEAGUE OF CITIES (NLC) and the NLC RISK INFORMATION SHARING CONSORTIUM The Nationa! League of Cities is the largest and most representative organization serving America's municipal leaders. ^ NLC was established in 1924 by and for reform-minded state municipal leagues. NLC now represents 49 leagues and more than 1,500 cities, towns and villages of all sizes directly and, through the membership of the state municipal leagues, more than 18,000 municipalities indirectly. ^ NLC serves as an advocate for its members in Washington in the • legislative, administrative, and judicial processes which affect them; develops and pursues a national municipal policy that meets the present and future needs of the nation's cities and the people who live in them; provides training, technical assistance, and information to municipal officials to help them improve the quality of local government in our urban nation; and undertakes research and analysis on issues of importance to the nation's cities and towns. The NLC Risk Information Sharing Consortium (NLC-RISC) was established in 1982 to provide services to and represent the interests of state municipal league intergovernmental risk-sharing programs. In 1999, 33 state municipal leagues and the liability/property, workers' compensation, and health benefit programs they administer or endorse are members of NLC-RISC. NLC-RISC is a service program of the National League of Cities. National League of Cities, Risk Information Sharing Consortium ýÿ • Y2I~Contingency Planning Guidebook Preface and Acknowledgements This Y2K Contingency Planning Guidebook has been assembled for you to use as a resource (1) to help develop your organization's Y2K contingency plan, or (2) to assist you to help other organizations to develop their Y2K contingency plans. Awell-written and rehearsed contingency plan addressing Y2K potentialities is one of the most important components of a local government's preparedness effort. The Content This Y2K Contingency Planning Guidebook is simple to use. It provides: • Resource material on the topic of Y2K contingency planning; • A simple template for developing a contingency plan for many of the various operations of local govemment; • Examples of contingency plans which were drafted using the • template; • Resource material on the topic of personal Y2K contingency plans; and • References for finding more information about Y2K contingency planning. The Process An ad hoc task force of NLC-RISC members designed the contingency plan template. It was tested in October 1998 at the NLC-RISC Fall Staff Workshop. The template was used as a tool during a workshop on developing Y2K contingency plans for mission-critical operations of local govemment. Groups of attendees were assigned specfic mission-critical operations around which to develop a contingency plan. These draft contingency plans developed during the workshop were augmented and edited for general consistency and format. But they are the work of many of the staff of the NLC-RISC member-pooling programs. Acknowledgements The editor wishes to express gratitude to the many NLC-RISC members who submitted draft contingency plans and thereby helped to build this guidebook. In addition, the editor wishes to express gratitude to the ad hoc task force for taking the time to fly in from all over to meet in Nashville • and design the template, lead the workshop, and peer review the results. National League of Cities, Risk Infom~ation Sharing Consortium Tab 1-1. • Members of the task force are: • Philip E. Cromer, Risk ~ Safety Services Manager, South Carolina Municipal Insurance 8~ Risk Financing Fund • Jim Davenport, Manager of Risk Management Field Services, North Carolina Interlocal Risk Management Agency • Michael G. Fanri, Director of Loss Control, Tennessee Municipal League Risk Management Pool • Les Horne, Director, Loss Prevention, Texas Municipal League Intergovemmental Risk Pool • Christopher Krall, Assistant Director for Loss Control and Contract Services, Colorado Intergovemmental Risk Sharing Agency And special thanks goes to Gregory Tooker, President, Risk Probe, Inc., who helped NLC-RISC champion the cause of Y2K awareness and planning, and who provided ideas, editing time, and peer review for this guidebook. The Guidebook cover was designed Vice President for Marketing anc Interlocal Risk Management Agency. some splashy color. and produced by Jim Greenwald, Member Relations, Connecticut We are grateful to him for providing Thanks to the organizations that have allowed us to reprint their materials: the League of Minnesota Cities, the League of Oregon Cities, the City of Bellevue, Washington, the Vermont League of Cities and Towns, the Federal Emergency Management Agency, and the American Red Cross. If you have any questions or comments about this guidebook, please feel free to contact the editor, Linda Brooke, NLC Director of State League Pooling Programs, at 202-626-3061 or brooke@nlc.org. National League of Cities, Risk Information Sharing Consortium Tab 1-2. ýÿ • Y2KContingency Planning Guidebook GENERAL DISCLAIMER The information and recommendations contained herein have been compiled from sources believed to be reliable and to represent the best current opinion an the subject. No warranty, guarantee, or representation either expressed or implied is made by NLC-RISC as to the correctness or sufficiency of any representation contained in this publication. • Participation and or use of these materials does not imply or guarantee full compliance with local, state, or federal regulations, which may be applicable. The appropriate regulations should be consulted. This program is purely advisory and intended to assist loss prevention and safety activities. Additional safety and loss prevention measures may be required under particular or exceptional conditions or circumstances. • National League of Cities, Risk Information Sharing Consortium Tab 1-3. ýÿ • Y2KContingency Planning Guidebook TABLE OF CONTENTS -TAB 2 _ Resource Materials about Y2KContingency Planning for Local Government Operations Chapter 6, Contingency Planning, from A Year2000Action Guide by The League of Minnesota Cities Contingency Planning, from Wresting with the M/LLENN/UM BUG by The League of Oregon Cities • Year2000 Readiness P/an, February 18,1999 by the City of Bellevue, Washington • Rapid Response P/an by the State of Vermont, Department of Public Safety Contingency and Consequence Management P/arming for Year 2000 Conversion: A Guide for State and Lora/Emergency Managers by the Federal Emergency Management Agency (FEMA) National League of Cities, Risk Infom~ation Sharing Consortium ýÿ A Year 2p a0 Action Gu N .• .~ ~~ ~~ ~~ • •~ N ~ ~~ i~ ~~;~es Aware, Cit1es C~ M I ~ ~ 7 1 ~ M A from Cities ea ue o~ M~nneSOta The t 9 L1viC • The League of Minnesota Cities provides this publication as a general informational memo. It is not intended to provide legal advice and should not be used as a substitute for competent legal guidance. Readers should consult with an attorney for advice -concerning specific situations. ©1998 League of Minnesota Cities All rights reserved Printed in the United States of America For reprint inf~~,,a,,ation, please contact: League of Minnesota Cities 145 University Avenue West St. Paul, MN 55103-2044 (612) 281-1200 or (800) 925-1122 fax: (612) 281-1299 www.lmnc.org ~~ '~~ • • Contingency P anning Even if dhe cry ideidfies a// equipment and systems wide potenlia/ YZk pmb/enu, and receives in/amation /rom vendors on what pmb/ems e~ and how to rur thou pmb/ems, the ci y may not have dhe mme, money a personnel to implament and test Y2k fixes before the yeas 2000. And even i/ mamifacmrers communicate shat they are not aware of any Y2k pub/ems with their products, failures and ma/functions cou/d ~i/I occur. Consequently, the dty needs to formulate contingenry plans that describe how it intends to respond toY2k disruption of normal city operations.A contingency plan is a predetermined course of action responding to possible equipment or system failures or malfunctions. The city should also develop a Y2k Emergency Preparedness P/an that integrates the contingenry plans for each city operation and outlines staff responsibilities, communications and deployment of resources. Coabrngency plans for specific city operaliorn and an integrated, G Y2k Emergency Preparedness Plan wiU help the cr7y~ Reduce derision-making during recovery or~..otions; Resume critical services quickly; and Enable timely and cost-effective resumption of all city services to a,...Y.r;~ble levels. Y2k Emergency Preparedness One primary focus of the city'sY2k team should be city-wide emergenry preparedness. For discussions surrounding this issue, the team should be sure to include representatives from the finance, fire, police, and public works departments, as well as the city's designated emergenry management coordinator. (If the city is large enough, it may be good to form an emergenry preparedness subcommittee.) If the city has a general emergenry preparedness plan, it can be modified to address specific Y2k problems. A Y2k Emergency Preparedness P/an short/d include the following e%mer~: • Assignment of a recovery team director, a command center coordinator, . recovery team leaders and members, and, possibly in larger cities, damage ass~,..ent teams -responsibilities for each position should also be outlined; league of Minnesota Cities ai As city deve%ps its Y2k Emergency Preparedness Plan, the county emergency director shou/d be kept informed. A Year 2000 Action Guide ýÿ Contingency Planning • Procedures for enacting contingency plans; • Allocation of resources (personnel, funding and equipment); • A communications plan for contacting key staff (keeping in mind that telephone systems may not operate properly): At a minimum, the Documentation instructions; and city shou/d have staff on duty and Designation of a command center and alternate facilities, should normal ready to respond use of city buildings become problematic. to any unexpected prob/ems that The cityY2k team should Iirsl torus on those systems ide~fied as occur the night ~catas~rophic~ ~ •~~~ m the ass.:a-,.,ent process The Y2k coordinator of December 31, should assign responsibility to each department for developing specific X999 and the rest contingenry plans for each critical system. Once contingency plans are , of the weekend deve%ped, They should be examined in /he context of the c~taide YZlr . Emergenry Preparedness Plan and revised as necessary. (Sorry about missing the big New Years Eve Contingency Plan Development party, but son g~~~ The cityY2k team should develop a contingenry plan template to help departments as they plan how to conduct core operations under escalating ' ' "what if " scenarios. A Contingency Plan Temp/a!e developed by the State of Minnesota is provided at the end of this chapter. ' For each diGca/system, depa~tinent stall need !o evaluate the GkeGhood o/ YZk !ai/me or maNunction and die types o/problams /hat could resr~A: For example.Y2k problems with a software application could include a program module within the application, the hardware which runs the application, the opG.a~ing system which runs the hardware, or communication lines which feed data to the application from other locations. As staff identify r......ible failures and malfunctions, they will need to address whether and haw systems can be operated manually. For instance, if automated electronic controls fail, what are the methods to oveMde a particular component if necessary. Also, sta/lneed to plan /or the possibiirty drat the city could be af/eded by a lai7uie olanother organrrationY system, such as a proMnged elecbic utility shutdown Below are explanations for the 13 points the State of Minnesota recommends to include in a contingenry plans: 1. Objective of the plan: Each contingency plan will have an its own objective • league of Minnesota Cities 42 A Year 2000 Action Guide Contingency Planning for maintaining an acceptable level of service. Because resources are limited, staff will need to determine what levels of service will be acceptable for each system failure.The State of Minnesota has identified four objective levels of service for contingenry plans: Nomla/ /eve/ of SeNiCe -the city will continue to provide the same or equal level of service normally provided. An example of this form of contingenry plan could be for a snow emergenry. In case public w~.i~'W staff are r..~~,.~w,rpied dealing with sy~w;.., failures a contract with a separate snow nanova/ uomparry gas into effect. • Degraded service -the dty will provide a level of ~rvice that is less than the level provided during normal service. An example is a aontingenry plan for an aaounts payable system which normally pays bills within five days of receipt. The contingenry Plan calls for hiring two temporary staff to r. ~,,,;.,,, Invoices within ten days of,.:a:,rt. • Simp/fled Service - providing a dif:'~.:...t level of service than the level provided during normal service. An example is a aontingenry plan for the water system. T~h~e dry could supply bottled drinking water to the community in case water • SyJ.4.YYS fail. • No Service-ceasing service.This may be an option for a limited number of city operations (those that have little to no impact on public health or safety). 2. Criteria for imrOking the plan: Specify clear, definitive and automatic criteria for invoking the plan, such as a determined length of downtime. 3. Expected life of the plan: Identify the anticipated length of time that the system can continue in contingency mode. If there are multiple levels to a plan. it should define the length of time that the plan can remain in each level. 4. Roles, responsibilities, and authority: Designate team leaden and members, and identify their responsibilities. Make sure plans do not completely depend on a particular person or even a position in case that person is unavailable. 5. Procedures for invoking contingency mode: Document the steps for implementing the contingency mode.This section could possibly include the procedures for contacting needed employees. 6. Procedures for operating in contingency mode: List the detailed proce- dures for operating in contingency mode. For instance, explain possible manual overrides or work-grounds. • 7. Resource plan for operating in contingency mode: Lisc resources needed league of Minnesota Cities 43 Y2k in the News: 'A 1ra~c contro/%r at an emergency meeting of the /ntemationa/ federation of Airline Conbo/%fs .. simulated the date change. Their screens went blank. -Computer Weekly Note: a recent report on Minnesota Public Radio indicated that many a~ traffic center systems are currently being overhauled. A Year 2000 Action Guide ýÿ Contingency Planning to successfully implement and maintain the contingency plan. Resources can include personnel, materials, supplies. communications, and other equipment. Necessary resources may be dii:w~..t than those needed during normal operations. 8. Criteria for reteiming to normal operating mode: Define clear and automatic criteria for exiting the contingenry mode. Limiting the amount of subjectivity in this criteria will aid a smooth ttansitlon back to a normal operating mode. An example for returning to operating mode could be the completion of a successful test run and approval :. ~... management. 9. Procedures for rettuning to normal ar ~ ~~ ding mode: List the steps for exiting the contingenry mode. 10. Procedures for recovering lost or damaged data: Often the conditions that led to a failure result in damaged or lost data. In additlon, data may have not been entered into the system. Procedures must be established to ensure the data integrity of the system, which may include entering in all data that was missed or corrupted during the failure. 11. Estimated cod of the plan: Document the estimated cost for invoking the contingency p1an.This may depend on the length and severity of a system failure. 12. Post contingency plan: It is recommended that staff have a debriefing after the plan has been executed. Any problems or new intelligence that could be relevant to the city's general emergenry preparedness plan (for other types of emergencies) should be discussed and changes made accordingly. Nol only should c%}/ a%ded off/cia/s 13. Testing of coraingency plan: For low-i...,,.~ct areas, simply running through and staff be making the list of resources you need for each contingenry plan may be enough. For contingency plans ~l;h-~Pa~ ~~ y~ Probably should walls people through, ahands-on test. for tiie city, but also preparing some persona/ Personal Contingency Plans contingency plans of their own. To ensure wrcesslril emergency recovery operations, emergency manageme~ pro/essionals have /ormd it imporlanl to also address the needs o/ employees Often, it is difficult for staff to commit and concentrate on recovery operatlons when they are preoccupied with their own personal problems. With this in mind, it may be a good idea to make all staff aware of theY2k problems that could affect their personal lives. For instance. if staff have their finandal affairs in order (hard copies of their assets, loans, etc) and funds available, they will be less likely to be distracted. • • • league of Minnesota Cities qq A Year 2000 Action Guide ~ Sample Contingency P an for Wastewater Collection System The Citys Wastewater Co/%ctio~ System consists of 3 /i/t sladons, light alarm systems and grarely sewer lines. 1. Objective of plan: Normal level of service 2. Criteria for irnoking plan: Electricity out to one or more lift stations 3. life of Plan: until electricity is restored 4. Roles, responsibilities, and atnttortty: The public works dkector will be in charge of operating this contingency plan. He/she will assign workers in the department as needed. ft additional personnel are needed, he/she will have the authority to use personnel in the parks maintenance department. If the public works director is unavailable, the sewer lead worker will assume the responsibilities outlined in this plan. 5. Procedures for Invoking contingency mode: The public works director will assign employees to monitor the system beginning January 1, 2000 on an emergency basis until it is clear that then: are no problems with the operation of the rystem. The alarm systems for ap three lift stations have a battery pack so • they wql operate if there is a electricity faqure. ft an employee discovers a problem, he/she will notify the public works director immediately and describe the nawre of the problem (e.g. no a%bicily to one or aU /iR staGo~sJ. The public works d'rredor wi(I determine if additional ,~~~~. ~ loyees are needed and if so wiq notify the other employees to report to duty. He/she will assign them emergency responsibilities. 6. Procedures for operating in contingency mode Portab/e generalors• The city has two portable generators that can operate the lift rations. Aq three lift stations have a generator receptacle so that they can be run with the portable generator. Based on tine storage in the lines and the wetweq 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. ft all three lift rations are not working, the director will establish a schedule to rotate the two generators between the three lift stations. fl necessary, the public works director wql try to obtain an additional generator through renal or mutual-aid agreements. • Vacuum Truck • If the generators are not able to handle the flow, the city can pump sewage out of the I'tit stations with the vacuum truck. The public worla dkector will assign employees to pump sewage using this truck. • Tanker Truck • The city may also be able to pump the sewage into its tanker wck. The public works dkector will assign employees to pump sewage using this truck. • L/B Station Bypass- Because of the topography in tire 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. League of Minnesota Cities 45 A Year 2000 Action Guide Contingency Plan for Wastewater Collection System Continued • Temporary over/lows- To avoid sewer back-ups in marry cftizerrs' houses, d the above options do not handle flow, the city may have to establ'islr temporary overflows from the lift stations. The city will work with the Minnesota Poflution Corarol Agency to try to minirrmdze the use of this option. • Waler.~~l.Jons- ff a city-wide or nsgion-wide power outage lasts more than one day, the city wfli consider .~.,r.;cting community water usage (this is to reduce flow of wastewater through the sy~em). 7. Resources plan for operating in contingency mode • Personne! • 3 public works employees for most operations, ft necessary, an additional 3 employees from the parks department • Vacuum Wck • Portable generators • Tanker Ovck with pump • Pipe or hose for lib station bypasses • Trucks to sansport or tow generators 8. Criteria for returning to normal operation mode: Eledricig- restored to all three flft stations • 9. Procedures for returning to normal operating mode • Disconnect any portable generators that are connected to Gft stations. • Remove the bypass for I'ift station #1 if that was c~.,.~:,JCted • Clean up arty temporary overtlows 10. Procedures for recovering lost or damaged data: Inappflcable 11. Estimated cost of plan • Personnel including regular, overtime and holiday pay for ~: ~ ~.~~ workers for a fnre~lay period: $2000•$3000 • Generatar rental - $100/day, 5 days, $500 (prachase ofgenerator • S30,000J • C~,..~.udion of bypass - $500 12. Post contingency plan: The public works director wifl meet with the personnel who assisted in operating this plan to determine how it worked. If necessary, changes wfll be made For any future emergencies. 13. Testing of contingency plan: Prior to January 1, 2000, the public works department wiU provide . training to its employees and the parks department employees on how to implement this plan. League of Minnesota Cities 46 A Year 2000 Action Guide • Contingency Planning Template Risk Clams: Dept.: Date: Created By: Related to Ottt~ S}~~~ ,~.~/Coninngency Plans? t~ye3~ /Isl below.) Dept Head Appn~wal Date 1.Objec~ive of the plan • 2. Criteria for invoking the plan 3. Expected G6e of the plan 4. Roles, responsibilities, and authority 5. Procedures for irnoking contingency mode • League of Minnesota Cities 47 A Year 2000 Action Guide ýÿ Contingency Planning Template Continued 6. Procedures for operating in contingency mode 7. Resource plan for operating in c~rgingenry mode (human :~. mces) 8. Criteria for returning to normal operating mode • 9. Procedures for returning to normal operating mode 10. Proceduues for recovering lost or damaged data 11. Estimated cost of the plan 12. Post cortiingency plan 13. Testing of contingenry plan • League of Minnesota Cities 48 A Year 2000 Action Guide • ~. ~ D Wrestling with the MILLENNIUM 8UG • A Primer for Oregon's City Officials on the Year 2000 Problem • ,~ -~ ,, League of Oregon Cities ` = P.O. Box 928 n~~ ~ Salem, Oregon 97308 ~n "'! ~~ , (503) 588-6550; 1-800-452-0338 Fax: (503 399-4863 Internet: loc@orlocalgov.org Interfaces .. Probably the most frequently ignored aspect of testing is interfaces with external organizations, agencies or vendors. These critical data exchanges • need to be tested thoroughly, going both ways, or "end-to-end". For example, for government entities, end-to-end testing should be done by testing successful data transfer beginning from the city, then to the county, the state and the federal government, and back down the path to the city again. CONTINGENCY PLANNING Intel's Andy Grove is quoted as saying, "Only the paranoid survive," a good motto for the Year 2000. Although most cities are working to correct Yeor 2000 problems, it is inevitable that some things will be overlooked, ignored or not completed on time. Another certainty is that there are things outside of city hall's control that could affect your operations. Even if a city is entirely prepared, it could become adversely affected by faulty incoming data. The next step to being adequately prepared for the Year 2000 is to develop contingency plans that address potential failures. A contingency plan takes your Y2K compliance strategy one step further to describe how you intend to respond to events which disrupt normal operations. The plan provides a road map of predetermined actions which will: • ~ Reduce decision-making during recovery operations; Resume critical services quickly; and Enable resumption of an acceptable level of service at the earliest possible time in the most cost-effective manner. Based on the inventory of your city's systems and equipment (see page 7), Helpful Hint: identify the most likely types of failures for each. For example, you may consider whether a failure could lead to: Make sure that con- tingency plans are spelled out clearly and that the appropriate personnel are adequately trained in how to implement and carry them out Loss of AC power Loss of environmental controls Breaches of security System hang-up or shutdown Interruptions of internal and/or external communications Files corrupted or "lost" Degradation of performance Incorrect but acceptable data errors Irrational data presented to users Unreliable/unpredictable results • Management must decide which functions must continue at some level, which must work indefinitely, and which can shut down at some point. Next, document the risk of these failures using low, medium and high ratings. For all functions where the city has determined the risk of failure is medium or high, complete the following: ................................................................................... 4 League of O;eaon Cities ýÿ Determine the earliest the system could fail. Identify which services would be impacted by the failure. Identify who would be affected by the failure if you can't provide the function for 48 hours, four weeks and six months. Identify how the • city will communicate with those persons affected. Determine whether there is awork-around for the potential system failure. Identify the person responsible for developing alternative methods and training employees. _ Determine when work should begin on alternative processing methods, identifying the event that will "trigger" the alternative processing methods. Determine how the city will contain or minimize damage. Videotape Determine whether resources can be shifted, and what additional Available on resources would be needed to implement the alternative processing Contingency method. Planning Identify, who would be legally responsible for the failure. Determine what your city's legal response will be. The League has available a videotape of a recent Identify the outside businesses, agencies, people, etc. that your systems presentation by Leland Freeman before state and "touch". For example: state and federal agencies, the county, other cities, .. local government {T schools, citizens, financial institutions, etc. Determine how you interface managers, entitled "~ with these outside interests and how your system changes will impact them. 2000 Contingency Planning". Identify the city's major suppliers of goods and services. Consider the Mr. Freeman's presen- impact of these goods and services on your mission-critical business ration focuses on Y2K functions. Determine how the city will continue these functions in the event coping strategies from a that one of these suppliers fails to perform. Identify whether your city has management point of requested certification letters from suppliers (see page 27 for somple). view. Identify actions that could minimize impacts of supplier failure (i.e., olternate supplier, stockpiling of key resources, etc.). He discusses the implica- tions (including legal) of Determine the methods which will be used to detect and correct non-compliance. and outlines the elements tc corrupted data, and identify the critical bockups that must occur prior to an effective strategic date roblems occurrin p 9• response. Describe haw the city wil{ handle its due diligence efForts. identify the To purchase a copy of the individual(s) responsible for maintaining due diligence documentation (see tape for X10, contact Kim "Legal Liability" poge 17). Bentley at the League office (503/588-6550. • ................................................................................... Wrestling with the Migen-num Bug 15 ýÿ .~ ~ ~~~ ~~ s`' ~ .`~a.o,~.. '~'~,r,~ - ~! ~~~~~ ~~ T~ ~ ~~ ~k ~ ~ ~ ~ ~ __~~ • Y2K ~~~SS PLAN Februa~Y 18~ 1999 • • City of Bellevue, Washington Year 2000 Readiness Plan February 18, 1999 Table of Contents 1.0 ~ Situation 1.1 Planning Assumptions 1.2 Goals and Objectives 2.0 Organizational Structure 2.1 Yeaz 2000 Strategic Plan 2.2 Emergency Operations Board 2.3 Emergency Management Co..,...:ttee 2.4 City Depa. ~...:,..ts 2.5 Emergency Prepazedness Division 3.0 Contingency Plan 3.0.1 Identify critical functions 3.0.2 Identify vulnerabilities • 3.0.3 Identify impacts (and particular populations, if possible) 3.0.4 Develop vulnerability monitoring procedures 3.0.5 Identify actions that mitigate :..,acts of vulnerability 3.0.6 Emergency Operations Center Limited Activation and Staffing Pattern 3.0.7 Coordinate actions for cumulative success 4.0 Coordination with Other Agencies 4.1 Business Co.......urity 5.0 Public Outreach 5.1 Public Involvement 5.2 Educational plan 6.0 Training 6.1 City Employees 6.2 Exercises to Test Contingency Action Plans 1 ýÿ City of Bellevue Year 2000 Readiness Plan 1.0 Situation For decades, business and gov;,.,,,.~„t c.,,..~, ster programmers azound the world saved :;,~,~,:,..sive data storage space and data entry tins; by storing the yeaz as two digits (99) instead of four (1999). As a result, mainframe and personal computers, softwaze of aIl kinds, traffic control, building systems, medical and other equip...:,.. having microprocessors may in~,,~t-~et "00" as the year 1900 rather than 2000. Various results are possible. Some programs may not recognize the year "00" as a valid date and will malfunction. Some may work but perf~.,,, inc.,..~.,~ date computations and comparisons. 5.,...;, may be unaffected, if the date is not used to control any functions, and work as expected. Today, microprocessors control or regulate a large variety of devices including fax machines, fire alazms, and security systems. Industry experts predict that of the 25 billion chips in electronic components, only about 2 percent will fail when these devices lose track of their timing functions. But there's no way to know which 2 percent. In many cases, the device wiIl just stop working. Elevators may descend to the baser~nt or go into security mode; VCRs may work but you won't be able to program them • Some problems will occur because of lack of awazeness, initiative or financial resource to make • repairs. More importantly, this scenario points out the absolute interconnectedness of systems upon which we have come to rely. Individual programs and equipment may not pose specific problems, however how they connect to other systems maybe jeopazdized by what has coma; to known as the "millennium bug.,' 1.1 Planning Assumptions The City of Bellevue has an all hazard co,..~~ehensive E..,;,.gency Operations Plan which has been tested in ca,,.,,tsnity--wide emergencies and full scale exercises. The contingencies identified in this Y2K Readiness Plan should au~...;,..t those planning assumptions and responsibilities rather than replace them Federal and state programs may be adequately prepared to react to a disaster in any single azea, but Year 2000 consequences create a scenario whereby all azeas of the country may be affected at the same t;...~. Since there could be widespread interruptions to power or unforeseen conn;,~,;~ity difficulties, we should not rely on mutual aid or other ordinary sources of assistance. The provision of basic services should be coordinated with groups most familiar with those services such as the American Red Cross, hospitals, food banks, etc. • 2 ýÿ • The City's emergency service priorities will continue to be based on the protection of public health, safety,. and welfare. The better informed and educated the public is about what to expect and how to prudently ..,raze for the century date change, the more effectively the community w~l wazd off actions based on panic which only serve to compound any real problems. Co......snity public education and prepazedness will be a top priority throughout 1999. Some Year 2000 system failures will begin in 1999 as ent.,.~,~;ses and government agencies begin their new fisca12000 year. During 2000, failures wdl occur throughout the year. After 2000, some applications that aze used only periodically w~111ikely encounter problems 1,:,,.ause those applications were not tested adequately. After 2000, ent,,,t,~;ses will install some noncompliant solutions, att;,..~,t to use noncompliant archived data, or receive noncompliant commercial softwaze versions. This may cause some continued failures. • According to the GartnerGroup, "Only 10 percent of mission-critical failures will last three days or more, and 70 percent will likely last less than 48 hours." Regazdless, there will certainly be some system failure impacts. • Contingency plans should focus on loss of power, water and phone service, which could fail because of the networked nature of those services. Many local power and phone companies • aze connected to a "grid" or service azea, and a failure anywhere in the grid can affect local service. • Non-compliant embedded chips in devices used in transportation systems (signals, airlines, railroads, etc.) may impact our ability to move and receive supplies, people, and equipment. • Other conditions may contnbute to any problems caused by non-compliant systems. We can expect a lot of activity around planned New Years celebrations. Also, the date change will occur in the middle of another winter when we can expect colder and wetter weather conditions. 1.2 Goals and Objectives The goal of the City of Bellevue Yeaz 2000 (Y2K) Readiness Plan is to ensure that the delivery of vital public services continues through the century date change without interruption. Mission critical computer systems, facilities, equr..~nt and critical supply chains will be Yeaz 2000 compliant or adequate contingency plans will be in place to avoid the disruption of essential public services. The success of the Y2K prepazedness initiative will depend on a co..~...snity partnership of government, businesses, community organizations, schools and residents. City .:..a~,loyees will be prepazed for this event and ready to support the emergency needs of our community. • 3 ýÿ 2.0 Organizational Structure ~ • Z.l Year 2000 Strategic Plan The Infa~..,ation Services Department continues to coordinate the inter-departmental effort to make the organization aware of the potential impacts of Y2K, conduct inventories of vulnerable systems, assess hardware equip..w..t, software applications and embedded systems, and correct deficiencies accordingly. 2.2 Emergency Operations Board The City's Emergency Operations Board will provide direction for Yeaz 2000 readiness efforts, including contingency plans, department readiness progress, public education, training, exercises and coordination with the private sector and other governmental agencies. 2.3 Emergency Management Committee The City's Emergency Management Committee will develop contingency plans for the delivery of essential public services in the case of any Yeaz 2000 system failures. The Co..~..,:ttee will also make recommendations to the Board regazding policy issues, resource needs, contingency plans, public information, public education, coordination with other agencies, training and exercises. 2.4 City Departments • Each City Department is responsible for ensuring that its business operations and delivery of essential public services continue through Year 2000 and beyond. Accordingly, each City Department must undertake a series of actions including: • establishing executive support for Yeaz 2000 readiness work measures and remediarions; • conducting inventory, assessment, remediation, and testing of appropriate computer systems; • conducting inventory, assessment, remediation, and testing of embedded chip facilities and equipment under the control of the department; • working with critical suppliers to ensure continued delivery of Yeaz 2000 compliant goods and services; • reporting to the Emergency Operations Board and Emergency Management Co..~...aee on the status and progress of their departmental compliance and contingency planning efforts; • developing departmental contingency plans; • participating in contingency plans training and/or exercises under the guidance of the Emergency Management Organization; • participating in public outreach activities designed to educate the public about our Yeaz 2000 plans and r~,,razedness measures; and, • ensuring the staff within their departments are personally r..,r~.ed for this event and therefore able to assist the co,.~...snity as needed. • 4 2.5 Emergency Preparedness Division The Emergency Prepazedness Division will be the lead agency~for coordinating prepazedness plans and progress reports with other entities, managing the contingency planning efforts of the City, and promoting a campaign of co..,..,anity prepazedness and partnership. This work wiIl be conducted in concert with other depa.~,.~,nts whose critical services are dependent on the readiness efforts of other agencies. 3.0 Contingency Plan The City of Bellevue Yeaz 2000 Readiness Plan will be based on the concepts of operation already established in the City's all hazard Ert~rgency Operations Plan. City personnel have practiced the use of the E..~,.gency Operations Plan extensively in the last several years, are familiar with their pre- identified roles and the Plan provides the adaptability of dealing with unforeseen consequences of any disaster. 3.0.1 Identify critical functions Services that aze most critical to our customers and vulnerable to Year 2000 issues include public safety, emergency services, and health care including, heat, shelter, food, water, medical and social . services. The E...:,.gency Prepazedness Division will coordinate with providers of ,,.:;cal non- municipal services such as grocers, Overtake Hospital, etc. t.i i ~ SERVICES Prosecution Vital records retrieval & protection Council co......snication Continuity of government Coordinating response and recovery operations Payroll LEAD Prig DEPART- rity MENT (# of days) CON i u1GENCY PLANS City Attorney 0 Alternate methods of ca..~...snication aze available for trial scheduling, etc. City Clerk 2 Manual back-up procedures aze already in place. CMO 0 Manual methods of communication available. CMO 0 Lines of succession established. EOC Manager 0 Back-up systems in place for emergency operations. Staff already cross-trained in responsibilities. Finance 0 1) 1/5 payroll to be completed and held 5 ýÿ prior to 12/31/99. 2) 1/20 payroll a. manual process b. back-up systems out of area Purchasing of Fuiance 0-30 Manual process with good record-k~:,r:ng supplies procedures in place. Fire o+.yr.ession Fire - '0 Modify response deployment proportionate to number and sev,,.:~~+ of alarm calls. Recall protocols in place. Fill vehicle, equipment and generator fuel tanks prior to 12/31/99. Rescue Fire 0 Modify response deployment proportionate to number and severity of alarm calls. Recall protocols in place. Fill vehicle, equipment and generator fuel tanks prior to 12/31/99. Hazardous Fi<e 0 Modify response deployment proportionate materials to number and severity of alarm caIls. containment Recall protocols in place. Fill vehicle, equipment and generator fuel tanks prior to 12/31!99. Emergency Fire 0 Modify response deployment proportionate . medical services to number and sev~.~~~+ of alarm calls. Recall protocols in place. Fill vehicle, equipment and generator fuel tanks prior to 12/31/99. Inspection Fire 0 Personnel reassignment proportionate to need. Telephone and Info. Services 0 City's private branch exchange is Y2K pager services compliant and backed up by 33 private phone lines. EOC maintains inventory of cell phones. Alternate co..~..snication methods include conventional radio and amateur radio. Fax machines Info. Services 0-30 Critical machines aze identified in City facility emergency power plan. Computer Info. Services 0-30 All city-owned computer systems and connections software applications have been tested and those in need of replac:...r:,..t aze being replaced. Co..,..tsnity center Pazks 0 Shelters aze in process of being adapted to (shelter) services accept generator power. Exploring the • 6 purchase of more generators. One center • can "borrow" generator power from water utility. Fill vehicle, equip...;,.,t and generator fuel tanks prior to 12/31/99. Building systems Pazks 0 5 generators can provide power to City - heat, power, Hall, Annex, Leavitt and BSC vital services fuel, elevators, - only (command centers, emergency lighting, alarms, security selected outlets, cazd key security, traffic computer, police records). HVAC available only in EOC, CH computer room, phone room and telemetry room Fill vehicle, equipment and generator fuel tanks prior to 12/31/99. Informing media PIO 0 Multiple methods available. and public Informing County PIO/EOC 0 Multiple methods available. and State Manager P:,....:t intake PCD 0 Manual procedures available. P;,....:t issuance PCD 0 Permits can be issued manually for up to 3 days. Then a stand alone PC system can be used. • P~.,.,:~ review R f PCD PCD 0 Manual methods available. li 0 equests or Pub c education campaign for alternate inspection means to request inspections can be used. Staff can proactively seek those who will likely need inspections. Conduct PCD 0 Manual methods available. inspections Record inspection PCD 3 Data can be taken manually for up to 3 data days. Then a stand alone PC system can be used. Records systems aze also backed up for off-site use. Issue TCOs and PCD 3 Dependent on record inspection data. Can Cos be issued manually. P;,....:t Center PCD 0 Alternate co.~u~,unication methods and informaxion relocation sites aze available. functions Public noticing PCD 14 Alternate means available. Public records PCD 14 Dependent on Clerk's Office ability to retrieve archival records. Complaint intake PCD 0 Alternate communications methods. available. Redeployment of city staff if • necessary. 7 Conduct ~ PCD 0 investigations Emergency PCD 0 response Dispatching and Police - - ~0 call receiving C.,..~..~. Center Law enforcement Police 0 Traffic control Police Major ~,.:..,;, Police investigation Crowd control Police Arrest and Police investigation Co..~...,mication Police with Records Division Traffic signal and Transporta- control system tion Street lights Transporta- tion Distribution of Utilities water 3 0 0 0 0 0 30 Fill vehicle fuel tanks prior to 12/31/99. Back-up systems in place for :,...;,.gency operations. Staff already cross-trained in responsibilities. Fill vehicle fuel tanks prior to 12/31/99. Emergency generator in place. Simplex radio use in absence of 800 MHz. Use of amateur radio operators in absence of 911 system Visible police presence in neighborhoods. Maintain visible co......anity presence. Ensure fuel supply. Use of radio in simplex mode or assignment of amateur radio operators. Fill vehicle, equipment and generator fuel tanks prior to 12/31/99. Fill vehicle fuel tanks prior to 12/31/99. Fill vehicle and generator fuel tanks prior to 12/31/99. Emergency generator on investigation van. Match staffing patterns to proprotionate need. . Fill vehicle fuel tanks prior to 12x31/99. Coordinate with King County Transit and Parks Department for field deployment or mass Gaze issues. Redeploy staff at Records with portable radios as alternate co.,..,..~nication method. Manual lock-down of Records possible. If less than 10 signals aze out, sign as a 4 way stop. If more than 10 signals aze out, treat as all way stop. F7aggers and police can be used for traffic control Education needed on all-way stop protocol Fill vehicle, equipment and generator fuel tanks prior to 12/31/99. Wait for power to be restored. 0 Ensure emergency communication protocol is in place with Seattle Water Dept., adjacent purveyors and mutual aid agencies. Stock critical supplies. Prepare generators 8 • • • ýÿ • for deployment. Stage water shortage plan. Inform public. Ensure personnel are available for 24hour response. Provision of Utilities 0 Fill fuel tanks of vehicles and emergency vehicle and generators prior to 12/31/99. generator fuel Sewer service Utilities - 0 Ensure co......snication protocol with KC Metro is in place. Stock critical supplies. Coordinate with mutual aid agencies. Prepaze generators for deployment. Plan to effect bypass at stations if necessary. Ensure personnel aze available for 24-hour response. Regional storm Utilities 0 Stock critical supplies. Coordinate with drainage mutual aid agencies. Ensure that personnel operations are available for 24hour response. Snow removal Utilities 0 All systems ready. Solid waste Utilities 7 Require vendor to ensure that fuel pumps disposal are Y2K compliant. Establish plan to ensure reliable supply of fuel Portable sign Utilities 0 Coordinate with Transportation and Police. • delivery Fuel supply for Utilities 0 Ensure all City underground storage tanks vehicles, are full Ensure vehicle, generator and generator, and equipment tanks aze full Ensure manual equipment override exists at pump sites. Ensure hand pumps are available to extract fuel without power. Ensure gas credit cazds are available. Fleet and Utilities 0 Machinery and tools aze Y2K c.,..~,liant. equipment Fleet maintenance ~..~:,.gency generator in maintenance place. Communications Utilities 0 Motorola contracted for Y2K compliancy. Center and radio Generators in place and performance tests systems conducted. Earternal Services Lead # Department days Education Bellevue 3 School District • Contin~encv Plans Protocols are already in place for adapting school hours to adverse conditions. 9 ýÿ Electricity Natural gas Medical care Financial transactions Puget Sound 0 Energy Puget Sound 0 Enemy Overlake 0 Hospital Seafirst Bank - '0 Telecommunicatio U.S. West, 0 ns AT&T, GTE, Airtouch, etc. 3.0.2 Identify vulnerabilities Emergency generator in place. Protocols in place. Critical supplies being stocked. Loss of power, water, co..,~..,.,~uiication, and transportation would most co..~~omise the City's abilixy to deliver critical services to the CA..L,i....r~.~-'. Also, the inability to exchange infom~ation e1~.u~~,:~aIly has become increasingly more critical; bank transactions for exarr~le. Many critical City services rely on the ability to pump fuel from City systems for vehicles, generators and equipment. The City is a part of an interconnected network of service or product suppliers; for example we purchase our water from the Seattle Water Departrr~ent, we rely on King County for solid waste treatment, and we use electricity distributed by Puget Sound Energy, generated by several other utility districts and trans,.,~~~ed by Bonneville Power Administration . 3.0.3 Identify impacts (and particular populations, if possible) The Emergency Preparedness Division will coordinate information on particular impacts of utility service disruptions. Specific examples include users of dialysis and other life s~~rrort equipment, people in need of medical treatment, and senior care and nursing facilities. 3.0.4 Develop wlnerabiGty monitoring procedures Bellevue is 18 hours away from the date change line and to some extent wiIl be able to monitor the effects of the date roIlover anticipating some effects. Throughout 1999 we wiIl monitor the progress of critical service providers such as Puget Sound Energy, Bonneville Power Administration, 4verlake Hospital and teleco..~...anication companies. 3.O.S Identify actions that mitigate impacts of vulnerability • fuel vehicles • fuel generators • test emergency generators and det~.,,~:ne need for any more (such as shelter sites) • stockpile: fuel, batteries, water, food, blankets, & any other necessary supplies • assign personnel to be on stand-by or on duty • • 10 ýÿ • • conduct public education: encourage personal preparedness, rumor control, business continuity P~~g • test and replace non-compliant systems • drill with amateur radio operators and organize for deployment • design and test co..,...unity co..,..,snication network • disseminate public information_ use web site, hotline, voice mail greetings, newsletters, co„u,.snity forums, etc. • top off water tanks • develop a plan for traffic control • conduct training and exercises • develop a "market protection plan" with food and water retailers • cross train staff on multiple systems. • prepare for January 3, 2000, the first business day of the new year 3.0.6 Emergency Operations Center Limited Activation and Staffing Pattern Beginning Friday morning, December 31, 1999, Emergency Preparedness Division staff will be monitoring activities around the world as the date change affects systems and services closer to the international date line. The City plans a limited activation of the Emergency Operations Center beginning 2100 hours on December 31, 1999 to monitor conditions and be prepared to respond to any local system failures or impacts on our co.......mity. The following positions will be staffed in the Bellevue E..~;,.gency Operations Center: [This plan current as of February 1999] • EOC Manager • Information Services (representative plus computer and phone support) • Puget Sound Energy • Public Information Officer • Police • Fire • City Attorney's Office • Transportation • Utilities • Parks and Co......snity Services • Overlake Hospital • Amateur Radio Operators This staffing pattern is based on the most ct...:,..t information available for planning assumptions and may change as we approach the date. Departments providing a vital public service should also develop staffing patterns for their respective Command Centers and field operations. • 11 Contingency Actions Completed: ~ • January 1999 / public education campaign initiated / Fnf~...ation Services Strategic Plan / City Y2K Readiness Plan drafted / roles and responsibilities defined / local yeaz 2000 web site established / preliminary survey/audit of public utilities for year 2000 status (electricity, water, sewer) Contingency Actions Scheduled: Februazy 1999 o preliminary survey of co...,~~,,.~uucation channels year 2000 status (local telephone companies, long distance companies, cellular companies, radio stations, television stations, ham radio operators) o preliminary survey of transportation into and out of azea (air, ra~road, trucking, highways, water) o preliminary survey of ~..:..gency equ;*....snt and supplies (el:,..u;c generators, fuel supplies, food and water, heating oil, natural gas, batteries for el~,~u:cal equip...;,..t, medical supplies) o radios and two-way communication equipment o first tabletop exercise for joint eob/emc organization February 24 o target business c,,.....t,,.crity with prepazedness campaign: major employers, manufacturers, retail, • service industries, banks, local phone companies, insurance companies, hospitals, supermarkets o prepaze City employees o educate the public March 1999 o place orders for emergency supplies o manual procedure checklists in place o liaison with citizen volunteer groups o liaison with state and federal teams and other municipal teams o prepare City ;,..~,loyees o educate the public o develop a co.......inications plan Apri11999 o revise planning assumptions based on activity during first 3 months of 1999 0 2nd tabletop exercise for joint eob/emc organization o prepare City .,.,~,loyees o educate the public • 12 ýÿ • May 1999 o test co..u..snications plan o prepaze City employees ^ educate the public June 1999 ^ revise contingency plan o briefings to EOB, EMC, police and fire departments on anticipated YZK problems o weekly Y2K status reports released to press, radio, TV, web site o prepaze City ~,..~,loyees ^ educate the public September 1999 ^ emergency supplies and back-up equipment stocked and available o final survey of key local businesses for Y2K status ^ educate the public ^ test co......,urications plan • November 1999 o contingency team dry run to check response speed o loss of el.,.,~:city ^ loss of telephone services o •reinfection from external sources o liaison with citizen volunteer groups o liaison with state and federal teams and other municipal teams ^ educate the public December 1999 ^ contingency team in place and ready for 24hour operations o volunteer citizen groups trained and ready to assist ^ emergency supplies stocked and available ^ police and fire -normal duty o Y2K radio/tv coverage prepazed ^ radio checks conducted with state, federal and neighbors o rumor control December 31, 1999 • 13 ýÿ o Monitor world wide effect of date change on systems, computers, etc. . o Open Emergency Operations Center and activate at 2100 hours o Maintain co..,..,anications network with key agencies such as Overtake Hospital, King County, etc. January 3, 2000 - " o Monitor local community systems for date change impact on first week day of business (bu0ding HVAC, elevator and security systems, traffic control system, etc.) January 2000 a modified responsibilities commensurate to demonstrated need o surveillance against reinfection if computers are working o Y2K emergency physical repairs o manual issuance of paychecks, paymerns, etc o emergency shelters opened if necessary o monitor fuel situation o status check of all city systems o survey of local business impacts o~ contingency team disbands - declaze when operations aze normal 3.0.7 Coordinate actions for cumulative success The E...~.gency Operations Center w01 continue to be the central point for co.....~anication, information and resources. Unordinary conditions or impacts on dep4. ~..:,..t services should be reported through the E...;,.gency Management Co....,.:ttee. City actions and status reports will be compiled in the EOC and sent to all departments and relevant agencies through Emergency Management C~,..~...:..ee ..~....bers. As in other emergency conditions, City staff and resources will be ut~7ized to most ~.r.~.r.ately respond to the needs of the community. This may involve t:,..~.orary reassignment of :...~rloyees to critical service provision such as shelter operation. 4.0 Ordination with Other Agencies The Emergency Prepazedness Division, with the help of specific department representatives, will monitor and coordinate Year 2000 readiness efforts with Puget Sound Energy, U.S. West Co..ul1snications, u t t: Telephone, Seattle Water Department, King County Metro Solid Waste Management Division, Overtake Hospital, Bellevue School District and private schools. 4.1 Business Community The Emergency Preparedness Division will coordinate Yeaz 2000 readiness efforts with the Bellevue • • 14 ýÿ • Chamber of Co,.u..erce, the Bellevue Downtown Association, local major :...~.loyers and key businesses. The Division will also conduct business continuity planning workshops and self- prepazedness education to the business co..,...snity. 5.0 Public Outreach The E...,.gency Prepazedness Division will coordinate a public outreach campaign expanding on the well-established theme of self-sufficiency among families and neighbors through the Strengthening Prepazedness Among Neighbors (SPAN) program The Division will also conduct seminars and workshops for the business, school, and residential populations with the goal of gaining partnership services for the co..,...snity in addition to a better prepazed populace. Examples of prime partners in this effort would be the Chamber of Co..,.,.~~ce, Bellevue Downtown Association and various service clubs. 5.1 Public Involvement The E...:,.gency Preparedness Division will coordinate the efforts of volunteers interested in assisting with our preparedness campaign and will seek the assistance of established volunteer groups within the City (example: amateur radio operators, explorer scouts, police cadets, etc.). 5.2 Educational plan • The self-prepazedness campaign w~11 be designed to dispel inaccurate information, calm anxieties, and promote self-sufficiency in conjunction with the co,.,..~,nly accepted all hazards prepazedness goals. The difference will be to promote 7 days of self-sufficiency, rather than 3, independent of the use of ordinary means of co......snication, transportation and utilities. A variety of methods will be used including the City's web site, BTV, business workshops, general public seminars, newspaper and newsletter articles, and partnerships with other agencies news releases, etc. 6.0 Training 6.1 City Employees The Emergency Preparedness Division will provide self-preparedness education to City :...~rloyees with Department Director support to ensure the ability of employees to perform their responsibilities with the peace of mind that their families and homes aze safe and secure. 6.2 Exercises to Test Contingency Action Plans A series of exercises will be conducted for the Emergency Management Organization, City Departments and other key players to test the City's state of readiness. The exercises will be designed to test responses to emergencies which could result from Year 2000 problems such as • 15 ýÿ power disruption, teleconvrnmicationsoutagw, traffic corrtrol failures, shortages of essential o~.rrhes, • etc. Tests will also be conducted on systems repaired or replaces as a result of Year 2000 compliancy as well as on critical eq~,...ent necessary to conduct .,,:u.,al public safety operations for the ca.~....snity. • • 16 Divlsba or Emergency Maaageateat 103 South Maio Street • ',,, ,. ~; Waterbury, Y'I' 05671-2101 . ~• Tels 1.800-347-0488 (802) 244-8721 STATE OF VERMONT TDD: (802) 244-5371 DEPARTMENT OF PUBLIC SAra. ! Fax: (802) 244.8655 February 24, 1999 Dear Town Moderator: Last year at this time many Vermont communities were still recovering from the effects of the 1998 Ice Storm. Little did we know that by June we would be experiencing devastating floods in other communities. Responding to these events requires a strong partnership between many organizations. Vermont state agencies, the Vermont National Guard, the Red Cross, to name a few are critical to our ability to begin the recovery process. No partner is more critical however than the services provided by local government and local responders. The first line of defense in any emergency is always at the local level. The Vermont League of Cities and Towns and Vermont Emergency Management understand the importance of this partnership. We hope this year will be quiet and safe • for all Vermonters but recognize that in each of the last five years a federally declared disaster has occurred somewhere in Vermont. This year, the Year 2000 problem (Y21t} has been on many people's minds. Although Y2k will come and go, we can count on natural hazards like floods and ice storms to impact us. Being prepared can help. At Town Meeting this year under "Other Business" we encourage you and the residents of your community to begin thinking about emergency preparedness by appointing an emergency management committee. ORen in an emergency, time is of the essence. Help us with this task, we need to know who to contact in every Vermont community if a warning needs to be issued. Please take the time to complete the attached survey and return it to us by Fax or mail. We will enter it in our database ensuring that we can respond better to your needs in future emergencies. We have also enclosed a Rapid Response Plan you may wish to adopt to help you be better prepared. If you need assistance, Rapid Response workshops are being offered around the state to help you. Please stay in touch and let us know how we can better assist you with your emergency preparedness activities. Sincerely, ~ ~ ~~ ~. • even Jeffre tiv i e~ Ed von Turkovich, Director Vermont League of Cities and Towns Vermont Emergency Management ~__ VERMONT EMERGENCY MANAGEMENT NEEDS INFORMATION O Yes, we are interested in receiving assistance to develop or revise our emergency plan and procedures, O No, we have a plan and procedures in place and do not need assistance at this time. • Town: Telephone: Point of Contact: FAX - PLEASE PROVIDE 1 n~ FOLLOWIlVG INFORMATION - . In an emergency we may need to convey vitaCand time sensitive information to a public official in your community. It would assist us immeasurably if we could obtain the following information: EMERGENCY POINT OF CONTACT Name: Day Phone: E-Mail Address: I Night Phone: I Pager: Specify to whom this a-mail address belongs: Name: Day Phone: ALTERNATE POINT OF CONTACT Title: Night Phone: Pager: Specify to whom this e-mail address belongs: PLEASE INDICATE WHICH SOr i WARE YOUR TOWN USES: O Microsoft Word - version ~ O WordPerfect -version O Other (please state) EMERGENCY SHELTERS Last year's ice storm reminded .us of how important emergency shelters can be. We are trying to collect this information so that during the next disaster we don't have to ask! O Yes O No -Has your community identified an emergency shelter? Where is it located? ^ Yes O No -Does it have a backup source of power? O Yes O No - Is that power source tested regulazly? How many occupants will it shelter? Are kitchen services available? O Yes O No -Does your community have an alert and notification system for warning your residents? Please descnbe O Yes O No -Does your community have an evacuation plan? If so, the following questions may be helpful. Should we shelter in place? Should we evacuate to a shelter in our community? Should we evacuate our residents to a shelter in another community? Are there specific natural or man-made hazards that concern your community? O Flood Plain O Dam Safety ^ Lack of shelter locations. O Hazardous materials O Rail Transport O Others - I Title: • • ýÿ ADOr ~ cD: by . Official Signaivrle: (pate j (LegisJabve eo~dYl {~ a. Qty; ~ - ••n1 ~~~1~DJY~~P~~ ~ Gty/Town of Business Address: (mailing address, ah. ~~. riP) Tel: Fax: Email: Rapid Response Team For example: EM. Coordinator, Rre chief, Pudic Wor16 Foreman. Police chief, etc O 1. D 2. ~ 3. O 4. ~ 5. ~ 6. ' Name ® =Contact Person/Action accomplished 0 1. Assess, map and document damage, identify needs and magnitude of disaster. ( Use Emergency Status Report Form and attach ) 0 2. Alert VEM of status, need for assistance, and use of other State agenaes. 0 3. Elected officials dedare Local Emergency per assessments above. ( Use Declaration of State of Emergency and attach ) (For example: siren, public address system, Door-to-docr. ebt.) O (metfiod of alert): Fadl'ity Name ~ Choices 1: f7 Choice s 2: D Choices 3: Facility Name O Shelters 1: ~ shelter s Z ~ Shelters 3: Address ~ (evacuation route): Address Phone Phone/Paler Phone(s~ Contact Person VEM/lF/RRP....Rev.0199-C 1 of 4 • Critical Phone Numbers ~e~ - semi srATE Vermont Emergency Management: i-800-347-0488 p Qean Drinking Wager, G...~~~...~, Heavy 1-802-244-8T21 Equipment; Sand sags, etc p VEM can activate state . ~rces wch as AOT, Agency of Natural Resources, labor & Industry, National Guard, Health Dept etc. p HAZMAT Hotline (sp~7ls, ebc.) p Fire p Shelter Coordination p Rescue p Public Worts p Local H...,~,i~l p law Enf~ ~ .:.~~ ,ent p Regional Plr. ,~ '. ~,~ Com. p 5.1~~1 Di~:,w;.: S4~ ~ ~ ~~eaderrG LotalR ~.-~).af p Sheriff p Local Radio Station p Other oon~ O Other con;~.v OTHER RESOURCES p Amu Jl.orl Red C.rOSS And MUTUAL AID p Fire/ Town of p Resa~e/Tawn of p Public Works/Town of p Other/ p Other/ 1-800-641-5005 Ccntad Persoe • V~t/LF/RRP....Rev. 019~C 2 of 4 ýÿ 'Activity Direction & Control Evacuation Communications Alert & Waminq Shelter law Enfa...~...ent Fire & Rescue Pubic works Public Information Resources Management Hazardous Materials Radiokx~y Damage Ass~.~...ent & Disaster Status Declaration of E..,~..,:.rxY Records & Reports bons Management CasuaiN & Pubrrc Health Volunteers Mapping and Charts Government Liaison Full Operations Staffing & Activities Personnel Scope _ _ Statfng, ftrt>ctioning of EOC and Chain of Evacuation, G ~ ~~,. ;anon, shelter :..., Local communications, phone, radio, ARES a RACES Public alert Red Cross: shelter, meals, care, social services, registration and ...~.~qe management Traffic, law & order Fire & . ~.a..re 8~ evacuation Roads brrdoes, sewer, water Public & media information Supplies, equipment, labor, dean water, storages eoc. HAZMAT Hotline: 1-800-b41-5005 Building and public w ,.. i.,, ir15p.:,,.;:... t, ass~~ ~Ertt; evacuations .:...... J.y 8c reports. VEM: 1-800-347-0488, 1-802-244-8721 Costs, p~adiasing, labor hours, wlunteer hours. staffing. Logistics & notices Health &..,~..,.re Staffing & assignments, Salvation Array, public services Maps, wall charts in EOC, Vital Sta~~, ..:.~,..]s management Coordinate witdl State & Federal A.,:.~Jes .•ta ., (For example: verity low-lying area; problem culverts & bridges; high risk population; stream survey, railvray ..,...: ~,~, etc.) High Hazard &/or Vulnerable Sites Verified by: - ~ is ~ z: ~ 3: ' SUMMARY # 1: Alert and Mobilize Emergency Management Organization # 2: Alert VEM (1-800-347-0488 or 1-802-244-8721) # 3: Alert General Population and Evacuate as needed # 4: Activate Emergency Operations Center (EOC) # 5: Open Emergency Shelters # 6: Use the "Local Government Disaster Handbook" for Instructions, Forms, Phone Numbers, & Tips 7: Use Public Works Staff, Volunteers, and American Red Cross to Begin Thorough, Ongoing Damage Assessments and Documentation # 8: High Hazard & Vulnerable Sites Analysis VFJM/LF/RRP....Rev. 019~C 3 of 4 ~ ~- ~~ City~,~own o~ ,,aferabtY "u'"~~}~ ~ s~~ter ~cl1JN~ ~P utw,a /u~'a~np evs~~ad~n no (I~se-'~ tata~ Map ~l 4oi4 • EMERGENCY STATUS REPORT ctTYrTOwN OF , couNTY oF: POINT OF CONTACT: ~ ~ ~ ~E: CALL BACK TEL. # FAX #: DATE ~ TIME: 11 /I _ : _ (AM or PM) REPORT PREPARED BY: CONDITIONS: RA/N/5NOU1~ inches feQ since Current accumulation: Last report taken: FJRE: acres engulfed since OTHER: (hour). (hour. UFE #:_ people isolated people injured people killed _ people hospitalized SHELTERS OPEN? ~ WHERE? LAST REPORT TAKEN: TIME: BY: PROPERTY ROAD/BR/DGE DAMAGE ROAD/BRIDGE NAME ROADBRIDGE # PROBLEM (a,tveres, rt...~ ,,, etc) FAC/UTY DAMAGE NAME PRJVATE PROPERTY DAMAGE DETAILS LOCATION • VEM/LFlR R P.....0199-A PROBLEM PROBLEM (t~asement, around door, etc) ACTION: (use reverse side) ~ rs. ~ ýÿ LOCAL DECLARATION OF STATE OF~EMERGENCY As of (date) ,the CityrT'own of has sustained serious damage to our roads, bridges and private homes due to the storms of (date) At this time, we have exhausted our resources and request State and/or Federal assistance. Therefore, a special Board of Selectmen Meeting was held on . We, the Council/Selectpersons of the City/Town of unanimously agree and declare a local state of emergency to exist. CitylTown of Chairperson CounciUBoard Council Member/Selectperson (signature) Town Clerk (signature) Name (signature) Council Member/Selectperson (signature) (date) FAX TO: Vermont Emergency Management 1-802-241-5556 VEM/LF/RRP.....0199-A 1~1. RRr ýÿ A Guide for State and Local • Emergency Managers ~GE pC BEL~Q ~+. I \ • February 1999 • ••••:~ l`~'im ». vi Y: ice`. ~<$$~~'t? ~1~::::~r ~ 'f'ly • ...,.' "?s ;~;• •:µ~?'?.;.3. \'i,:Y•ai i$~:........::C{•Sfii: ...:v~:~ tiiA\\hf:J~ TABLE OF CONTENTS 1. Ge ~ ~ 1NG STARTED ~ I What Is theY2K Problem? 2 Who Could Be Affected? 2 What Infrastructure Systems Could Be Affected? 3 Why Should I lie Concerned about theYear 2000 Problem? 4 How Can IVerifyThatAll My Systems Are OK? 4 What Kinds of Plans Do I Need? 5 Which Functional Areas Need Plans? 5 How Do 1 Develop a Contingency Plan? 6 When Should i Plan? 7 How Can I Promote Community-Wide Readiness? 7 • How Can !Help the Public Prepare? g What Else Can I Do? g What Is FEMA Doing to Prepare for Nationwide Response? 9 How Are State and Local Governments Addressing the Problem? I 0 Where Can I Find Useful Information about theY2K Problem? 10 2. GE ~ ~ ING CONTROL OFTHE PROBLEM -- ASSESSING RISK I How Widespread Is the Problem? How Can I Tell If 1 Have an Embedded Chip Product? ( 5 What Can I Do AboutThese Devices? ( 5 When Will the Problem Strike? I5 Vulnerability Analysis ( 7 Directions for Using theVulnerabiliry Malysis Chart 17 • Contingency and Consequence Management Planning forYear 2000 Conversion i 4Kthtip .:K...~.v .:.t..,.,sv:v, ti iii < wt,.$'~P• 3. G~ ~ ~ ING CONTROL OFTHE PROBLEM - KEEPINGYOUR OWN AGENCY RUNNING 21 How Will I Know If My Own Systems Are Y2K Compliant 21 Resources forTestingYour Systems 22 Where Can (Get Help in f=ixing My Systems 23 Planning for Continuity of Operations 23 4. GC ~ ~ ING CONTROL OFTHE PROBLEM YOUR CONSEQUENCE MANAGEMENT PLAN 25 Gathering Information forYour Plan 26 Step I. 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 S. Coordinate with Utilities and Other Businesses to Prepare 32 Step 6. Establish Communication with the Public aboutY2K 33 Organizing theY2K Effort 34 Sample Plan 42 Resources for Helping the Public Prepare forY2K 45 • ii Contingency and Consequence Management Planning forYear 2000 Conversion '~'' .:':s :x. ;::v~:•?\S . ~ 'TT ^'.`SYT: a>iii:7. `:~ui+.\Yi:'v 5. NEXT STEPS 47 Developing an Incident Management Plan 47 Obtaining Additional Information .}g Types of Resources Available 48 Selected Web Site Listings 49 Additional Contacts $2 LIST OF TABLES Table I . Some Infrastructure Systems at Risk 3 Table 2. Level's of ComputerTechnology 5 Table 3. Equipment and Systems to Checic forY2K Problems 13 • Table 4. Important Dates forY2K I (, Table 5. VuinerabilityAnalysis Chart 2p Table 6. Example Procedures for Operating during or after System Failures 38 • Contingency and Consequence Management Planning forYear 2000 Conversion iii v ' S a2;t :ib4 ~i$:N Y2fM1?:iS•:r'q~~:~;::~• ...... .:h.+. ... • :~: : r.• eti:e:::.. The Federal Emergency Management Agency (FEMA) has produced this guide to help State and local emergenq 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 FloridaYear 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 ofTexas, 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 I -888- USA-4-Y2K for information on a range of topics. • iv Contingency and Consequence Management Planning forYear 2000 Conversion • .. yfM, . ...2 Y. ~ ~ ' F 'k+ '-~~3 is .":. Y .?w \ i:. /i0$ ?wrvY~iYXJRTM~f^4P. ?hWS74 •~:N.WiJ. 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 experienceY2K disruptions. If you are just starting to address theY2K problem in your State or communities, Section 1, Getting Slotted, provides a brief overview of: • theY2K 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 cn: • assessing risks • testing systems • developing consequence management plans • Contingenq and Consequence Management Planning forYear 2000 Cornersion ~ +x!~~ ad na ..,cfe::~its~ zca.:a u .••vs x • '` ` • : b .:fix ;: ;::, r . \`; {tv,. C#:;'•`Y ::rr+JS'° ;; a~cr°ia '4> , •.~ p: :a1~:~=;`, ~ ,.}, , , . • • • vi Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ - ~....... ~ ~; ; .:.:tr; .. ~ .. S3x~'Ju:f r>Jh~iY$}Ahti~>.~.ii3 $ih>~b ~:N}:n:A 1. GETTING STARTED These days, almost every newspaper and magazine has printed articles about theYear 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 3 I , 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 ifY2K-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 n~ponse agencies. Keep your own agenry 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. • Contingency and Consequence Management Planning forYear 2000 Conversion airmen ;e~tit`~ .,Fw..~ao,, . ~ <,var `~iZ%:::i:>ri~~o• ~~. ::i~~.v., a +...~.•~..~4~l is , vier"':: ~.. ' What Is theY2K• Problem? The`f2K 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, 11 I /2000 is not the only critical date! In fact, some experts believe that as few as 8% ofY2K problems will occur on I / I !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. i 2 Contingency and Consequence Management Planning forYear 2000 Conversion ;~ • ... . What Infrastructure Systems Could Be Affected? Progress is being made daily in ensuring that systems areY2K 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 c. moles part of the risk associated with theYear 2000. As a result, you need to evaluate all systems, not just your own computer systems, forY2K compliance. Section 2 contains more information on these at-risk systems. Contingency and Consequence Management Planning forYear 2000 Conversion Table I . Some Infrastructure Systems at Risk .. ,{~f.','F,.i. ~?~, w ...... iiw~~iH .w~.~vtwAxi~ti$v :,•'~{~'~:iii •t\~:CC{~~ Why Should 1 Be Concerned about theYear 2000 Problem? The zomputerized 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 potentialY2K 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 ofY2K 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 theY2K issue in your communities. Include action by all of your communities' . critical service providers. How Can 1 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. • 4 Contingency and Consequence Management Planning forYear 2000 Conversion ?,... ~~., `7s'`a+an:3?Kam ...M.... ~'!~hf::;r. What Kinds of Plans Do 1 Need? • This guide promotes "Contingency and Consequence Management Planning:'TheY2K community uses the term "contingency planning" to reflect the uncertairrty regardingY2K disruptions. "Consequence management planning" for speafic hazands is a more familiarterm to the emergency management community. If you have an all-hazards emergency operations plan, you can use this guide to develop ahazard-specificY2K attachment to it If not, you can use this guide to develop astand-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 • Contingency and Consequence Management Planning forYear 2040 Cornersion 5 Table 2. Levels of ComputerTechnology '4' 1 C,ttr .,a . i 3 .a }`'.~ ,OStN~~;: '~tt+J:ap a •:.:.L. ',Yx.y.~ ., Y•':e tfl~:s:a~ar • • ~ `:+ "`~., iL;fr' x•~Zr''.:'t.d:tvt `tv'i$ '•sk:•'eh 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) • 91 I 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. • 6 Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ • ... . 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 flames for phases of the planning process: • How Can 1 Promote Community-Wide Readiness? Some of the most important work in emergency response takes place at the State and local Ievels.You have a key role in assuring preparedness -right now! As you assess the possible consequences ofY2K 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. • Contingency and Consecuence Management Planning forYear 2000 Conversion 7 ~ }~, •, ~ ~`•'a} • f 2 r ty a How Can I Help the Public Prepare? To relieve anxieties and help people prepare forY2K, 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 onY2K through schools, local employers, public meetings, and community groups. Encourage people to get more involved in all-hazards emergency planning and help them undue, ~t~nd 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 forY2K: • Checking with manufacturers of any essential computer- controlled equipment in the home • Preparing basic emergency supply kits • • Checking home smoke alarms and buying e..~ a batteries • Keeping abattery-operated radio or television available to be able to receive emergency information Tell the public that they should prepare forY2K disruptions in the same way they prepare for other problems, such as winter storms ortornadoes. 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 wrth your communities to developY2K 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. • $ Contingency and Consequence Management Planning forYear 2000 Conversion }~ ....n: : ~:~:`•i ;.......,.... far: 'PYf r.. 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 forY2K.These include: • Chairing the Emergency Services SectorWorking Group of the President's Council on Year 2000 Conversion • Conducting Regional Interagency Steering CommitteeY2K workshops in all ten Regions: February -March 1999, August -September 1999, and December 1999 • Developing a short course onY2K for State and local emergency managers Conducting Emergency Educational Network broadcasts on Y2K, March 1999 through January 2000 • Establishing aY2K 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 consequerices.ofY2K. 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 I , 1999. • Contingency and Consequence Management Planning forYear 2000 Conversion 9 ýÿ ••:a,.,;:.d".w,, :~'4~i ic..:''.::~t<wt} • ttaeF; d3LY,';?+,'••'"•Y ' '~ ' •:::: >~ 'a N~~ 2 a" q • .~ ti t~3~`~ : ; ?} .•±k ':'.jP,.i'~ 77$$~~ S;~_.r~t~yq.~,~t:v~ ~ 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 ifY2K problems arise simultaneously across the nation. So States and local communities must be prepared to be self-sufficient for a period of time ifY2K disruptions are serious. How lore 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 areY2K compliant, they are developing contingency plans to address potential failures in public and private services.Organizations with successfulY2K programs have: • Gained the interest and support of high-level management . • Established and used commissions and planning or working groups to coordinate efforts • DevelopedY2K 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 theY2K 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 fist of some information sources that can be useful to emergency managers. • I 0 Contingency and Consequence Management Planning forYear 2000 Conversion .,• . :> '.'LgL::•'' .~:'','t~.. L~.L;L3 •:kS;L.t.. ` y .. .•.~.r •: ..... .. :`6::::. 2. GETTING CONTROL OFTHE PROBLEM ASSESSING RISK The first step in preparing forY2K 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, butY2K 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 3 I, 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: (I) information technology (I~ 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 rystems are: • Payroll systems • Accounting and receivable rystems • Inventory systems • Local or area-wide networks • Management information systems . Geographic information systems Contingency and Consequence Management Planning forYear 2000 Conversion I •r,;iiii'.ir eese.~;cv u~.a~~'' S:;{ 1:s -:c~i~' • ^i<se ~ ^ ~ i 'i it •~i 2 • , ;::; . • ~ , . :; ` 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 rystems • 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 theY2K 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, day- to-day business are controlled by microprocessors. lfthese "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 experienceY2K 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 forY2K Problems on the next pages; it will help you start thinking about your communities' potential risk. • 2 Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ ,, ~~.,. •e •.~ ........... ... : • Table 3. Equipment and Systems to Check forY2K Problems • • Note: Read the list in its entirety t~ecause some equipment is multidepartmental.The fist is not necessarily comprehensive; jurisdictions may find additional suspect equipment Office Equipment telephone systems voice maiUanswering 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 Emergenry 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 computer- aided dispatch systems surveillance cameras airtraffic 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) 91 I 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 comp~Ker 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 Contingency and Consequence Management Planning for Year 2000 Conversion 13 ýÿ .i`s ~<~ "a badge access systems emergency systems (power generators, lights, HVAC systems) engineerting permits engineering assessments reporting fire control systems (alarms, sprinkler systems) other Admini.,t. ~tionlFinance utility billing systems revenue systems (tracking of parking tickets, invoices, assessments, business licenses) financial accounting systems purchasing systems payroll tax collections cred'R 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 publ'~shing 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 fim~s appraisal companies landfills maintenance companies trash collection companies electric util'Ries insurance providers telecommunications companies other Food Storage and Distribution refrigerators freezers ice makers Other railroad switching systems robots satellites library cards other Soun:e:Adapted fromAYecr 2000 Action Guide, League o f Minnesota Gties, 1998. • • 14 Contingency and Consequence Management Planning for Year 2000 Conversion ýÿ 2 i .t . .. yF >, c.• .~ •:.s•.::, §SF~iG ...... ..,:....,r:t.:•.::.: . :.'i'~r:~wF~FF.a: »fui .......... How Can 1 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 atime/date What Can I Do AboutThese 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 isY2K compliant You should request letters certifyingY2K 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 aboutY2K points to problems on January I , 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. Contingency and Consequence Management Planning for Year 2000 Conversion 15 ':;:i :: j:~'' ;} . ..v..... ...... ,...... .. ......» ..:2E:..c As an emergency manager, you also must monitor and respond toY2K problems that could occur days or weeks after January I, 2000. Some incidents might initially seem unimportant, but they could turn into threats to public safety and health. Fvr 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 ifY2K disruptions elsewhere were to stop fuel shipments. Publications and web sites devoted to testing systems forY2K compliance list other dates that should be included in a complete system test See the references listed under "Resources forTestingYour Systems" in Section 3. • • • 16 Contingency and Consequence Management Planning for Year 2000 Conversion Table 4. Important Dates forY2K ýÿ ~`~ ~ ~~ M~ ~ o~ ~ ~. ~ .f .~ 't ..Zt Vulnerability Analysis Potential disruptions caused byY2K problems are similar to other technological emergencies, so you can apply FEMA's all- hazards planning guidance (State and Local Guide I 0 I ,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 ofY2K emergencies.The process entails identifying potential problems, assigning _ probabilities, estimating impacts, and assessing resources, using a numerical rystem.The lower the score, the better. Directions for Using theVulnerabilityAnalysis Chart ^ List Potential System Failures In the first column of the chart, list theY2K failures that could affect you, such as: • Safety system failure • Telecommunications failure • Computer system failure • Power failure • Heating/cooling rystem failure • Emergency notification rystem failure • Contingency and Consequence Management Planning forYear 2000 Conversion 17 u.4'"~~ ~^~~ '.~. '.y':;~ .\Z~}:k~oi$,Y Y,~~ :;F~u~ ?~-;ht~~' • , 1 < i: ~ "Ny`~ :ry.! i"$°} i~~ \ ~ :~~ ~ '~~' ~ ' ' ~ ~: ,. ~.. f ~ is i y. ~ .u 0 f +«:•' y. :::fe;:::};:ri ~ ~~i ::~4: ,:.>. ~;..;..ra t:> .' •':i~' '.?viii;. a" y , a ~.~.. a •..., .....ov ..n'~ ~•`.'C~v:~s... ^ Estimate Probability In the Rrobability column, rate the likelihood of each emergency's occurrence. Judging the likelihood ofY2K 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 I to 5, with I as the lowest probability and 5 as the highestThis 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 I to S scale, with I as the lowest impact and S as the highest. In this area, for example, I 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, I being the lowest and S 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, I is the lowest, and 5 is the highest Assess the impact o>: • Business interruption • Employees unable to report to work • Impos'tion of penalties or legal costs • Interruption of crtical supplies or services • 18 Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ O Assess Internal and External Resources fdext assess your resources and ability to ~ ~F,ond. 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 priorrty 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 O Add the Columns Add the numbers for each emergency.The tower the number, the better. While this is a subjective rating, comparing the numbers will help you determine planning and resource priorrties. • Contingency and Consequence Management Planning forYear 2000 Conversion 19 ýÿ Table 5. Vulnerability Analysis Chart .::= ~H>t~i `'ti".. {`` ~:' rn;. :.R.: Hcgh~SLow High~mpact~ `~~~ti~~t~>> ::: P...a!~.::::.::. Slow ~ mpact Weak Strong Re~ources~--Rmources .v~R "~i'ii} >f~ %~~r `•:iw. ::;>::. :. ~'~~: . >>~' ~~~:~: ...... ~:1:>• Source: FEMA 19 I The lower the score the better Contingency and Consequence Management Pl~~nn~~g torYear 200A Conversion 20 ýÿ • aTfi+it~i .5,:$S~f>: A:+tiNi: ~T:: :....~.. ~~iiS'iifA1 3. GE ~ ~ ING 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 theY2K 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 theY2K problem. How Will I Know If My Own Sy ~t~ms AreY2K Compliant? • NOTE:This guide does not give detailed instructions for testing systems forY2K 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 I I :59 PM, December 3 I, 1999, and waiting I minute to see what happens. Problems may exist on many different levels, so you must ensure that all technology levels of your systems areY2K compliant Check with vendors and other experts to ensureY2K compliance. O CheckYour 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 forY2K issues. Use either firmware changes from the hardware vendor or operating system patches. • Contingency and Consequence Management Planning forYear 2000 Conversion 21 ýÿ •y'ry~3~U:1^.,. WY. t'vrnsif•.. •s:. .~ •a• ~~~c'7+°'`..`r :FA Waif • „~r..;:rs .fir ,<,..::.,~.:.,..::,M, .ru~.~.~ t:L~w"tYi•:S:'0`i'{•i. CCU ieiS<'s.~ v:`vi:S•i:. ^ CheckYour Operating System Even some recent operating systems require upgrades to be fullyY2K compliant. Check your vendors web site or user support line forY2K issues. ^ CheckYour 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 isY2K 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. ^ CheckYour Applications and Run--F'ime Libraries . Applications software runs on your operating system and works with various databases. Ensure that all applications you use and • their run-time Ibraries areY2K compliant Check your application vendors web site or user support line forY2K issues. ^ CheckYour Custom Code Custom applications are either built on top of application software or use application software components. Even though the underlying applications areY2K compliant,the custom code may not be. Establish guidelines for testing your code to ensure that it isY2K compliant Accept onIyY2K-certified applications from third-party developers. Resources forTestingYour Systerrtls 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.fem a.gov/ http://www.nistgov/ • 22 Contingency and Consequence Management Planning for Year 2000 Conversion ABU, ^°~$~' M.<,',M. {r. ~~~ ~;vLC2w:~'^}T~ ': ~ ~ ~2¢.M~ wry % Y ~6r v,• :C~;.> t:\ ~ . .} ; ;7` '. {+i ~ 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 finns.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 S.To get you started, here's astep-by-step process taken from the General Accounting Office, Yeor 2000 Computing Crisis: Business Continuity and Contingency Planning, GAO/AIMD- 10. I.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. Contingency and Consequence Management Planning forYear 2000 Cornersion 23 ~` `'~~~~'''~ € ~~`• ~~~ ~ `'~ ~ Steps for Continuity Planning ~w Y'c :Elk?f .,.. .~..r... .~........ Step I. Initiation ^ Establish an operations continuity project work group ^ Develop and document ahigh-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 documentYear 2000 failure scenarios ^ Perform risk and impact analyses of each core operations process • ^ Assess and document infi-astructure 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 aRernatives 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 24 Contingency and Consequence Management Planning forYear 2000 Conversion • ~z ~~y~~,~ Y ~, ,~,t`x .fig.`,. ~• ;~~ ~ .R~ ~.:.t iai~i:o a'iii.';Y:;~wdrt r~x,•fi ur?ifi•.e 4. GETTING CONTROL OF THE PROBLEM - YOUR CONSEQUENCE MANAGEMENT PLAN No matter how well you have assessed the risk ofY2K problems and addressed them in your own jurisdiction, you need to have aY2K Consequence Management PIan.That way, you will be prepared for what might happen ifYear 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 • Whereto begin? Often the first step is the most difficult Here is a suggested approach. FII 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 crrtiral systems areY2K compliant • Contingency and Consequence Management Planning for Year 2000 Cornersion 25 ýÿ ' ' w`; I:{~ ., ~ ::?•f Siva :4:2 :''~ , ::. • Gat~ering:#rir~e~`±an forYour Plan Step I . Identify the Potential Impact onYour 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/FAS Water and Sewage Interruption in water supply Problems with sewage service • 26 Contingency and Consequence Management Planning forYear 2000 Conversion ~~?~~~J <~ ~..Y.•A~~+.vi ~< ? D' ' ~'7+ N:~7$b ~I , 1v, vnn ~~..•: is vv <v,. •N> ]may>iT. V7tiib)3S0?~iJ. T7•S!" n\~>i s . . Step 6. Establish Communication with the Public aboutY2K • Emergency managers and other local leaders should establish themselves as reliable sources of information aboutY2K and communicate what they are doing to prepare forY2K via: Local newspapers Local television stations Local radio stations Local Chambers of Commerce Community clubs and assoaations (League of Women Voters, etc.) • • Contingency and Consequence Management Planning forYear 2000 Conversion 33 ýÿ ":,tare. :~:k~.:3~ f+%:~.<~ ,~,J,,u { .'r\~?.r~;~~. `'°~~ ''~ ~x,fi;:'~ :ifs>;;•~::y '::, .wwnw.. .ww,:;fi'o.{wv..aw.wv ~2:~i:•:d .~'F4:•~~~:tiw Organizing theY2K Effort Each-jurisdiction should designate a person as theY2K Coordinator to lead all efforts. In addition, each jurisdictional department should appoint someone to assess theY2K 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 ofY2K failure or malfunction and the types of problems that could result (See Section 2 for a listing of Equipment and Systems to Check forY2K 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 emergenty and will not be concerned about personal matters. The jurisdiction's overallY2K Consequence Management Plan should cover the following elements: • Designation of leaders and their responsibilities, including a RecoveryTeam Director, a Command Center (or EOC) Coordinator, and the members of the RecoveryTeam • 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 • 34 Contingency and Consequence Management Planning forYear 2000 Conversion • .;.rev::>.Ay. °`~y~a, .~'.Xi'fY~`~'•' ~ 2.Y^°.`.L : a`:~":`::`} :~ro:•~ r:•'iiY:',::>i'!.+%sxin~eYa. :~+bbi:•if x\1tirT.v. Emergency Services 91 I 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 • Contingency and Consequence Management Planning forYear 2000 Cornersion 27 • ~``'•e%'•: L't rx Nursing homes Public Works and Facilities Street and traffic lights Vehicles and equipment Airports • Government buildings Correctional facil'tties Schools • 28 Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ :q,^{aati'Z;yr • .~r,_~2i~`~~:':~..}•.A :SS~+" N3C.^ :yh• Ar~r'•,:;;:;YA'"+ . 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) • Contingency and Consequence Management Planning forYear 2000 Conversion 29 ýÿ ~~ 14.•, ,'Y.:a~F.t• ,;•a.3.:xi:;~ a~!e,yc .i~i<«..;;.+~ • inz`€z:• .•:~ ,~ ~ •.Y'i4:~ ~ ''~p~T,i~i\ ' µ~ri~ .i«+:<'i•':' 6.9 . f, .} .,i,:''e; :»uLi• , buy '+\i`:.; ::>~it•:': 3Giwv:4 .aA~K~ .a~.»y. +.i'ni~iioo. Step 3. Promote Interdepa. t~..entalTeamwork Creating aY2K 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 • 30 Contingency and Consequence Management Planning forYear 2000 Conversion ti JNyf.~ 'SYi?MSi~iifi$:J::~'M S~~. i~ :•'J^f?hG. Step 4. Work with Other Governmental Units Infrastructure problems caused byY2K 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 • Contingency and Consequence Management Planning forYear 2000 Conversion 3 I ýÿ '~~~: ^ i~'v:~f~:'~ .£{T'~inr>:vM {!fir::;:¢ .LG^:.G,.t py .vn.... k;:. ............:'+.; ........ ..~.~~.... 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 • 32 Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ • • • Contingency and Consequence Management Planning forYear 2000 Conversion 35 ýÿ aV ~.~5 ~•„ Cii:;::...~. t. . All plans should contain the information in the checklist below. d 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. d 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 speciftc 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 3 I , 1999. D 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. O 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. • 36 Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ ~ ' - } • ~ ~,,, : + ':: ~ Svc: '• Zh } it7~)}~C} { ~ . . .;;t,:mL ,::;8.0: ...... c:2;;?yy ........, iYfiS~~ :~AVSa:YI'4.'~:SY'ijf Sk`J:$7'S 'S`Jiy~a'iNih ^ Resources Available to Support Emergency Operations fist resources needed and available to implement the plan. Resources can include personnel, materials, supplies, communications, and other equipmentThey 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 ahands-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 leamed during the response phase should be noted, and changes to the jurisdiction's plans should be made accordingly. AfterTable 6, you will find an example of aY2K Consequence Management Plan, which was prepared by a local Public Works department. Contingency and Consequence Management Planning forYear 2000 Conversion 37 Tatii~~6. ~w~~"E~;yp~e P~~`~~~edures for Operating during or after System Failures „ . . ::~ „ ,, ,, ;.r pi: :~~.. `. ~ 2: ~...? ::~.r: :: •a Street lights Parking lot and street security . . Manually activate, if possible. jeoparYiized; increased risk of Secure additional security crime and driving hazards personnel available for escort service. Lockups Prison escapes ' Perform lod<downs 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 Implement manual record be recorded 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 appropnate pro ce ures •i:{..:... e.•: n! ........... .........~?. ~.........iV:{e::n ~ W \1. . a:. .... ~ .•.......::•:v. :...:::n f......1........ r. n.........:. e........... Q•.: is ~:::.: iri:•:::.:::....::::.v.::: s:.a vxfi v::.•. .:::.v:::. ..: •: wn ..•... y......... ~. .. .:.~• v ..Y•n~vn~~.v.~:::::w^..v;.;.......v::.:.,:.:::••;;::•:::r:v{..;w.:n•.:.:._:.:~.~::::::.~xi. .....4 :•n.... :•;:yi: ::::~ 7• . .... iiY'•= ?•• ~ • . . .... ~ ~Y'~iri' . ls:• i:: ..Y. Municipal and public utilities Loss of heating/air Secure standby generators. and the power grid conditioning, lighting, communications, and other amenities of daily life Standby generators Loss of power with the same ~ Manually activate standby results as above generator. Obtain additional generators and fuel as necessary. 38 Contingency and Consequence Management Planning forYear 2000 Conversion • • y ~ ~ ~ Emergency response may be Use attemate phone numbers, delayed or prevented cell phone, radio. Weather warning and tornado ~ The system may not activate Manually activate, if possible. warning sirens when needed or could produce false alarms ýÿ ,~'; ~'?: • .,. <<E .,:;. ~i'L~+: • • Pagers Cell phones Written (copiers, fax machines) EDl (electronic data interchange) Electronic payroll deposit Credit card purchases Missed and erroneous pages Missed and erroneous calls These machines may stop working Electronic supplier payments disrupted, resulting in shortages of goods and services Employee payments made through direct deposit may be late or could fail entirely Purchase approval may be denied: cards could become unusable Use ceU phones, if possible; otherwise, use periodic call-ins or face-to-face communications. Use radios or face to-face communication. Postpone or use carbon copies if available. Write checks manually or otherwise implement pre- electronic procedures. Write checks manually or pay in cash. Use manual purchase orders. Institute blank purchase orders with local mercharrts Contingency and Consequence Management Planning for Year 2000 Conversion 39 pgX Loss of internal and external ~ Use radios, pagers, cell phones, communication lines or couriers. Radio Loss of police patrol Use cell phones if possible. communication k~ :f?: ;:G:; v>S; Myay. .G3 ;yi; i$2 ~ ::`•a.'i•'~+` .a~a~~i4 , .awa•X4.v:4$X~.a'ti~'n :rain Freeway management systems Highway congestion Trains Railroad crossing warnings fail (warnings are controlled by microcomputer) Drawbridges Bridge crossing warnings fail or bridges fail to open and dose Airports Airports Air traffic control systems disrupted Timed runway rghting systems disrupted Use police overtime, send letters to the public, or place newspaper ads stressing the need for greater safety consciousness. Send letters to the public or place newspaper artides alerting the public to the danger. Wam land and water traffic use police who are working overtime or auxiliary police to reroute traffic. Ino~ease traffic intervals, require use of visual flight rules. Disable computer controls, activate manually if possible. • • • 40 Contingency and Consequence Management Planning forYear 2000 Conversion Traffic control - Traffic lights malfunction ~ Use police overtime, or auxiliary police force if available, to manua0y direct traffic. ýÿ • ;:4 ~ ::: ~:'::::::' • • Water -Cleaning Water -Well management Emergency food distribution Sanitary systems quit Not available when needed Supermarkets dosed because of power outages, etc. Use water trucks. Use alternate sources of supply. List locations for assistance. Prestodc essential supplies. .y...:~. +Y..f,..•..9:•?{.?::: •::..: ~: }...w.. r?:?T. tdY,.y.'425p.<A >t...L.:.: ~~y.. v.:G:4?:i.ivi;.•:n::•.:4b•::.~:vb'r:.v:. ?}b:•:•?:•~:.:b:.......•r r• ,. :. ..... ... : .. { •:nv' .• •}. .. }..•.}A}:.}+b:•:•X~.. ........ :•:.Y};{:i::}:::Y':.>..•.r..::.•.•::.. .:t•.•: :t~ ~Gv{•}:••: ... A.... ~..~Ki.R%............•.......:.........:•;:: n:.:.•.... .. :>:: .:nw i• Medical devices and equipment, operating rooms Source: Adapted from Keane, Inc. Pacemakers, lighting, etc. Probably the best measure is to ensure that standby generators are ready. Medical triage rules should be applied. Contingency and Consequence Management Planning for Year 2000 Conversion 4 I Water -Pumping ~ Pumps stop working and soon Prepare water trucks for distribution pipes are empty ems ~~nq distribution. Encourage citizens to have bottled water handy. ,w.y~"ti~~ s~ .,e ~~~ ~' ~~~ ~~ ~....v .a.. .......,a., `` ' ...... ~~~: ....,..... SAMPLE PLAN Contingency Plan forWastewater Collection System The jurisdiction's Wastewater Collection System consists of 3 lift stations, light alarm systems, and gravity sewer lines. I. 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 rystem beginning on December 3 I , 1999, through a night shift into January I , 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 Oiredor (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 responsibil'tties. 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 personne! 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. • 42 Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ '""~+ .<~:'" ..~•:~;^:>~:,, 2,,.,2, .,8,2222" ` '•. : :3' ant 2::i: 2~±? j • \ ~>: • :a'9Y2~;itS'r~...,<:'.#?S •.kjo{ti :.• T.?:Yi.. 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 I'~nes 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,•tlte 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. • TankerTruck --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 # ! , 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 Z4 hours, the jurisdiction will consider restricting community water usage to reduce flow of wastewater through the system. • Contingency and Consequence Management Planning forYear 2000 Conversion 43 ia~Ye ~ y fc:L:;f 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; I vacuum truck; I 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 Gft 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 3 I , 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: PRINT Department/Agenq Head: Date: SIGNATURE • 44 Contingency and Consequence Management Planning forYear 2000 Conversion • `~•) :S~` :L 2`tih.2E ~~x ::...... ..... {•.i a ~ .. Resources for Helping the Public Prepare forY2K The general public has understandable concerns regardingY2K. You can help them prepare forY2K by being a credible source of information.Tell them about the potential effects ofY2K 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 theY2K 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 hasY2K publications for consumers on consumer electronic products, home office equipment, and personal finances.These publications are available on-line at httpJ/wwwftc.gov and through FTC's Consumer Response Center at 202-FTC-HELP. It also has a Business Fact Sheet urging businesses to disclose theY2K 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 manyY2K tools for small businesses and critical service providers. Information about these tools can be found on their web sites: httpJ/www.sba.gov/, httpJ/www.mep.nist.gov/, • and http:/Iwww.Y2K.gov/. Small- and medium-sized businesses can also call I -800-U-ASK-SBA for information on Y2K. Contingency and Consequence Management Planning for Year 2000 Conversion 45 ýÿ ...,w.. <t<.2<Yi.,....... ...w... ...i&~k~x. In addition, almost every State has several web pages devoted to theY2K problem.These pages generally provide State-specific information, additional planning guidance, tools and procedures, and links to otherY2K-related web sites. You probably will be asked how the public should prepare for the possible effects ofY2K.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 I -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 • • Emergenry 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 S). Also check the American Red Cross web site listed in Section S for specific information about preparing forY2K.These preparations should include: • Checking with manufacturers of any essential computer- controlled equipment in the home • Preparing supply kits for family disasters • Checking home smoke alarms and buying extra batteries • Keeping abattery-operated radio or television available to be able to receive emergency television • 46 Contingency and Consequence Management Planning forYear 2000 Conversion 5. NEXT STEPS ff you follow the guidance in the preceding sections, you will make a good start on getting control of theY2K problem.You will participate in: • Awareness education • Operations and consequence management planning for your agencies and communities • Updating your emergency operations plan forY2K 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 ofY2K problems in your agencies and communities Plan for continuity of operations ifY2K problems occur Plan to manage the safety and health consequences ofY2K problems One more planning step is left -developing an Incident Management PIan.This plan will help you respond effectively at the time of aY2K 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. • Contingency and Consequence Management Planning forYear 2000 Conversion 47 >S . vi, , '.2ii~wtiv~ :Ye2{•:`vifiw.vnww:t ~:Ch:~:~ 4GG<wAu 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 theY2K problem.They generally provide State- specific information, additional planning guidance, tools and procedures, and links to otherY2K-related web sites. In addition, many of the FEMA documents cited in this guide are available in its on-line library. Go to httpJ/wwwfema.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 20 12, Jessup, MD 20794-20 12. Phone: I -800-480-2520. Fa~c 30 I -362-5335. Types of Resources Available A wealth of information is available from a variety of sources on theY2K problem.These sources include: • Newspaper articles • Magazine articles • Technical publications • Computer manufacturers • Softv~iare manufacturers • Vendors • Libraries • Bookstores • Consultants • Private industry and businesses • Television and radio features • Federal, State, and local government agencies and departments • 48 Contingency and Consequence Management Planning forYear 2000 Conversion ýÿ ~ r : •.~j .;} ••i :: jY .,r:~; >v`tivr;:•i ~k~r~ ~Y 'L,~, i. i ' ........ ............. r?n$Y: iC:iy}$ .rr..r.. r. 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 ofY2K 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:l/www.y2k.govl 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 "BecomingY2K Compliant," then select "Tool Kit UnderstandingYour Organization's Y2K Challenge:' http:/lwww.fema.govl FEMAYear 2000 Issues - FEMA provides information and web links to additional information on emergency service, and emergency response, preparedness and contingency planning. http ://www. i tp o I i cy. gsa. gov/ U.S. Government's Office of Information Technology -provides links toY2K directories and is especially useful to municipalities that want to access a variety of State and IocalY2K 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. Contingency and Consequence Management Planning forYear 2000 Conversion 49 ýÿ .r,F., h?, .: ..sre...,7:q v~•:Saean, sr~fiH •.v~^aL'cv ~ ~ ~F ~ . .~......o .v.....n.u.t....:.o "it i:{ w~~.uu http:llwww nstl.com/ The !-National SoftwareTesting Lab -provides shareware to test computers forY2K compliance. http :1l www. re d cro ss. o rg! The American Red Cross -answers some FAQs and provides individuals with a checklist of actions to follow for preparedness. http:l/www.senate.gov/-y2 W The U.S. Senate Special Committee on theYear 2000Technology 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 aY2K compliance project checklist Check under "Special Publications:' http://www.yearZ000.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 Monogement lnformation for Community Preporedness -- a guidebook that deals with the technical mitigation and consequence management aspects of the Y2K problem. http:!/www dirstate.tx.us/y2W Texas's Guidebook 2000, About Time: Managing the Y2K Problem in Local Government - a reference point for cities, counties, and other subdivisions to addressY2K problems. http:/lvvww. irm.state. ny. usl New York State's Guide to SolvingYeor 2000 Problems in NYS Local Government -- helps local communities identify and develop plans to address theY2K problem; can be downloaded. http:l/www, co. m o. m d.u s/year2000/ Montgomery County, Maryland's Contingenty Plon Guidelines - deals with continuing mission-critical government and business services that could be affected by theY2K problem. • 50 Contingency and Consequence Management Planning forYear 2000 Conversion ........ ~.~.f'•:•. nviii$T>+Y3•S. .;f,L:;•rf ~`~\~: n~$. http:!lwww.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:/Inemaweb.media3.netl 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 onY2K. http:/lwww.mitre.org! Mitre Corporation - an extensive list of critical dates and information forY2K testing. httpJlwww.pa2k.org/ • The Commonwealth of Pennsylvania and Government of Canada -Guidebook for Local Governments. h ttp://www. I m n c. o rgl League of Minnesota Cities - A Year 2000 Action Guide. http:!lwww. mwcog. o rg/ Metropolitan Washington Council of Govemments - Yeor 2000 Best Practices Manual. Look under "Year 2000 Initiative:' http:l/y2k.state.fl. us/ State of FloridaYear 2000Task Force -Year 2000 Remediotion Checklist. Look under"Tools &Training:' http:/ly2k.state.ks.us/ State of Kansas, Department of Administration, Division of Information Systems and Communications -Outreach to the New Millennium. Contingency and Consequence Management Planning forYear 2000 Conversion S I ýÿ Additional Contacts The following names and phone numbers are FEMA Regional Y2K points of contact for emergency managers. Region I Region II Region III Region IV Region V Regio n VI Region VII Region VIII Region IX Region X Dan McElhinney Robert F. Jones Lora Werner Shelley Boone Alyce ~. Williams Lawrence L Bailey Sherry Wainwright Jim Donley J. Scott Logan PT&E Division Kathy J. Burke (617) 223-9567 (212) 225-7018 (2 15) 93 I -5724 (912) 225-4572 (312) 408-5522 (312) 408-5582 (817) 898-5152 (816) 283-7010 (303) 235-4864 (415) 923-7220 (425) 487-4603 • • 52 Contingency and Consequence Management Planning forYear 2000 Conversion • Y2I>t Contingency Planning Templates for Local Government Operations TABLE OF CONTENTS -TAB 3 Page Local Government Oaeration - by Grouo Number Public Safety 3-1 Public Works, Utilities, and Transportation 3-2 Finance, MIS, and Administration 3-3 Occupational Safety and Health 3-4 Interaction with Outside Agencies 3-5 • Public Awareness Campaign 3-6 • National League of Cities, Risk Information Sharing Consortium ýÿ • Y21~Contingency Planning Template for PUBLIC SArtl t(OPERATONS 1. Describe the municipal operation: Public Safety • Law Enforcement • Fire Fighting • EMS • Communications • Emergency Management • Civil Defense • Animal Control • Jails, Lock-ups • Hospitals • Nursing Homes, Elderly Housing 2. For each of these operational areas, what are the goals of a Y2K contingency plan? 3. What are some of the problems one can expect in achieving these goals? • 4. What are some of the possible solutions to the problems? 5. What steps should be taken, what is the outline of the contingency plan to follow in the event of a Y2K incident? 6. What follow-up is necessary to implement the contingency plan - education, training, testing, monitoring, etc.? The information and recommendations contained herein have been compiled from sources believed to be reliable and to represerrt the best current opinion on the subject. No warranty, guarantee, or representation either expressed or implied is made by NLC-RISC [substitute pool name] as to the correctness or sufficiency of any representation corrtainad in this publication. Participation and or use of these materials does not imply or guarantee full compliance with local, state, or federal regulations. which maybe applicable. The appropriate regulations should be consulted. This program is purely advisory and intended to assist loss prevention and safety activities. Additional safety and loss prevention measures may be required under particular or exceptional conditions or . circumstances. National League of Cities, Risk Information Sharing Consortium Tab 3-1. ýÿ Y2KContingency Planning Template for PUBLIC WORKS, UTILITIES, and TRANSPORTATION 7. Describe the municipal operations: Public Works, Utllitles, Transportation • Waste and Trash Collection • Sanitation, Landfills • Streets. Sidewalks, and Road Maintenance • Building Maintenance ~ Fire suppression systems v Elevators, escalators • Parks, Recreational Areas • Snow Removal • Traffic Control Equipment • Street Lighting • Electric and Gas Utilities - generation and distribution • Water Treatment Plants • Waste Water Treatment • Water Distribution • Fleet Maintenance • Airports, Seaports • 2. For each of these operational areas, what are the goals of a Y2K contingency plan? • 3. What are some of the problems one can expect In achieving these goals? 4. What are some of the possible solutions to the problems? 5. What steps should be taken, what Is the outline of the contingency plan to follow in the event of a Y2K incident? 6. What follow-up is necessary to Implement the contingency plan - education, training, testing, monitoring, etc.? The irrfomration and recommendations ~ntained herein have been ,,......lied from sources beloved to be reliable and to represent the best current opinion on the subject. No warranty, guarantee, or representation either expressed or implied is made as by NLC-RISC (sut>sb~ pool namej as to the correctness or suffidenry of any representation cornained in title publiption. Participation and or use of these materials does not imply or guarantee full compliance with total, state, or federal regulations, which may be applicable. The appropriate regulations should be consulted. This program is purey advisory and irKended to assist loss prevention and safety activities. Additional safety and loss prevention measures may be required under • particular or exceptional conditions or circumstances. National League of Cities, Risk Information Sharing Consortium Tab 3-2 Y2KContingency Planning Template for FINANCE, MIS, and ADMINISTRATION 7. Describe the municipal operations: Finance, MIS, and Administration • Financial Software Systems • Claims Administration Software Systems • Revenue Billing and Collections • Licensing and Registrations • Permitting • Voter Registration • Computer Hardware • Outside Vendors • Outside Agencies • Telephone Systems 2. For each of these operational areas, what are the goals of a Y2K contingency planT 3. What are some of the problems one can expect in achieving these • goals? 4. What are some of the possible solutions to the problems? 5. What steps should be taken, what is the outline of the contingency plan to follow In the event of a Y2K incident? 6. What follow-up is necessary to implement the contingency plan - education, training, testing, monitoring, etc.? The information and recommendations contained herein have been compiled from sources believed to be reliable and to . o.r. ~.+ent the best current opinion on the subject. No warranty, guarantee, or representation either expressed or impl~d is made as by NLGWSC [substitute pool name] as to the correctness or suffidenry of any representation contained in this publication. Participation and or use of these materials does not imply or guarantee full compliance with local, state, or federal regulations, which may be applicable. The appropriate regulations should be consulted. This program is purely advisory and intended to assist loss • prevention and safety activities. Additional safety and lass prevention measures may be required under particular or exceptional conditions or drex...w.ances. National League of Cues, Risk Infomtation Sharing Consortium Tab &3. ýÿ Y21~ Contingency Planning Template for OCCUPATIONAL SAFt i ~ and HEALTH 7. Describe the municipal operation: Occupational Safety And Health Employees Communications Volunteers Personal Protective Equipment General Public Training for Emergency Duty 2. For each of these operational areas, what are the goals of a Y2K contingency plan? 3. What are some of the problems one can expect in achieving these goals? • 4. What are some of the possible solutions to the problems? - • 5. What steps should be taken, what is the outline of the contingency plan to follow in the event of a Y2K incident? 6. What follow-up is necessary to implement the contingency plan - education, training, testing, monitoring, etc.? The inforrnation and reconunendations ...,,mined herein have been compiled from soun~.a believed to be reliable and to represern the best current opinion on the subject. No warranty, guarantee, or representation either expressed or implied is made as by NLC-RISC (substitute pool name] as to the correctness or sufficiency of any represerdation contained in this publication. Partidpation and or use of these materials does not imply or guarantee full compliance with local, state, or federal regulations, which may be applicable. The appropriate regulations should be consulted. This program is purely advisory and intended to assist loss prevention and safety arltivltles. Additional safety and loss prevention measures may be required under particular or exceptional conditions or arcumstances. • National League of Gies, Risk Information Sharing Consortium Tab 3-4. • Y2KContingency Planning Template for INTERACTION WITH OUTSIDE AGENCIES 7. Describe the municipal operation: Interaction With Outside Agencies • County, State, Federal Agencies • Industry, Interstate Commerce • Mutual Aid Agreements • Funeral Homes • Schools Financiallnstitutions • Civic Groups Local Businesses • Churches • Labor Groups • Red Cross • The Media • Volunteer Organizations • Cable, Telecommunications 2. For each of these operational areas, what are the goals of a Y2K contingency plan? • 3. What are some of the problems one can expect in achieving these goals? 4. What are some of the possible solutions to the problems? 5. What steps should be taken, what is the outline of the contingency plan to follow in the event of a Y2K inciderrt? 6. What follow-up is necessary to implement the contingency plan - education, training, testing, monitoring, etc.? The inbnnation and recommendations contained I ,:: in have been ..- r lad from sources believed to be reliable and to represent the best aurent opinion on the subject. No warranty, guarantee, or repn3se..;~l:_n either expressed or implied is made as by NLGRISC [substitute pool name) as to the correctness or sufficiency of any represer>tation contained in this publication. Participation and or use of these ~ 1: rials does not impy or guarantee fuq compliance with local, state, or federal regulations, which may be applicable. The appropriate regulations should be consulted. This program is purely advisory and intended to assist loss prevention and safety activities. Additional safety and loss prevention measures may be required under particular or exceptional conditions or circumstances. • National League of Cities, Risk Infom~ation Sharing Consortium Tab 3-5. ýÿ Y21~ Contingency Planning Template for PUBLIC AWARENESS CAMPAIGN 7. Describe the municipal ope.d,i~~n: Public Awareness Campaign • Public Access N and Radio • Billboards, Bus Signs • Websites • Envelope Staffers • Community Newsletters • Other Media 2. For each of these communication vehicles, what are the goals of a Y2K contingency plan? 3. What are some of the problems one can expect in achieving these goals? 4. What are some of the possible solutions to the problems? 5. What steps should be taken, .what is the outline of the contingency plan to follow in the event of a Y2K incident? 6. What follow-up is necessary to imp/eme~ the contingency plan - education, training, testing, monitoring, etc.? The information and recommendations contained herein have been .._...~Jed from sources berteved to be reliable and to represerK the best current opinron on the subject No warranty, guarantee, or representation either expressed or implied ~ made as by NLGRISC (substitute pool name) as to the correctness or sufficienry of arty representation contained in this publication. Partiapation and or use of these materials does not imply or guarantee fuU compliance with local, state, or federal regulations, which may be appQcable. The appropriate regulations should be consuRed. Th~ program is purely advisory and intended to assist loss prevention and safety activities. Additional safety and loss prevention measures may be required under particular or exceptional condi~ons or dreumstan~s. • • • National League of Cities, Risk Information Sharing Consortium Tab 3-6. ýÿ Y2KContingency Planning Guidelines for Local Government Operations TABLE OF CONTENTS -TAB 4 Local Government Operation - Alphabetical Order Paae Number Animal Control 4-1 Building Maintenance 43 Communications 45 Computer-Based Traffic Control Equipment 47 Emergency Management ¢g Emergency Medical Services 411 Financial Software Systems 413 Fire Fighting 415 • Hospitals 417 Interaction with Outside Agencies 419 Law Enforcement Operations 421 Licensing, Permitting, and Registrations 423 Nursing Homes, Senior Health and Housing 425 Outside Vendors ¢27 Personnel Health and Safety 429 Public Awareness Campaign 431 Revenue Billing and Collection 433 Snow Removal 435 Voter Registration 437 Wastewater Collection System 4-39 • National League of Cities, Risk Information Sharing Consortium • Y2K Contingency Planning Guideline for ANIMAL CONTROL 1, For animal control operations, what are the goals of a Y2K contingency pan? • To maintain animal control functions in a humane manner • To protect the public safety 2. What are some of the problems one can expect in achieving these goals? • Malfunctioning or nonfunctioning telephone and 911 systems cutting off communications incoming and outgoing • Malfunctioning or nonfunctioning computers rendering data inaccessible • Inability to obtain immunization vaccines, medicines and drugs from suppliers and vendors • Cut off from water and fuel supplies • Inability to dispose of waste 3. What are some of the possible solutions to the problems? • Reroute phone calls to nonemergency lines • Create paper documentation • Stock up on critical medicinal items and animal feed • Stock up on water and fuel • Devise temporary waste disposal method 4. What steps should be taken - what is the outline of the contingency plan to follow in the event of a Y2K incident? • Create public awareness • Give public advance notice of what to do in case of emergency • Begin using paper documentation one week prior to December 31, 1999 and monitor against the computer records • Locate a generator or be sure back-up generator is in working condition • Locate alternative suppliers for all critical supplies 5. What follow-up is necessary to implement the contingency plan? • Familiarize personnel with contingency plan contents • • Train personnel in manual documentation protocols • Locate back-up communications systems National League of Cities, Risk Infom~ation Sharing Consortium Tab 41. ýÿ • Create scripts to communicate to the public about alternative animal • corrtroi procedures, as required • Create emergency duty rosters • Enlist and train volunteers • Coordinate with other departments and outside agencies • National League of Cifles. Risk infom~ation Sharing ConsoRium Tab 42. ýÿ • ~'2ltContingency Planning Guideline for BUILDING MAINTENANCE 1. For building maintenance operations, what are the goals of a Y2K contingency plan? • To minimize the chances that any system in public buildings will malfunction • To ensure the safety of building tenants and members of the public visiting those premises 2. What are some of the problems one can expect in achieving these goals? • Internal computer systems that control building systems, such as lighting, security, building access, elevators, escalators, parking, telecommunications, heating, air conditioning, ventilation, water supply, fire detection and suppression, and so forth, .may be affected by Y2K • problems • Public utilities may not be able to supply electricity, gas, water, waste disposal, communications, and so forth, which may affect building operations 3. What are some of the possible solutions to the problems? • Employ back-up or alternative systems to keep building operations functioning • Coordinate with suppliers and manufacturers of building systems and equipment to discover potential problems and solutions to those problems • Relocate operations temporarily if building becomes unsafe or uninhabitable 4. What steps should be taken - what is the outline of the contingency plan to follow - in the event of a Y2K incident? • Decide which are the priority, °mission-critical° building maintenance systems • Identify all back-up and alternative systems to deliver service in the event of malfunction of these "mission-critical" systems • Contract for any potentially needed back-up supplies, services, security, • alternative locations, and so forth National League of Cities, Risk Infom~ation Sharing Consortium Tab 43. • Obtain certfication from suppliers, manufacturers, and service providers . that they are Y2K-compliant • Identify altemative means of internal and external communications • Decide under what conditions a building should be evacuated and develop a safe method of accomplishing this, including finding altemative location for personnel and work documents, depending on priorities, nature of the emergency, and nature of the work • Determine altemative security measures for the building; including close monitoring of who is in the building at all times • Coordinate all Y2K-contingency planning with other departments and community leaders • Prepare a written contingency plan that includes description of roles and responsibilities of building personnel - be clear about naming people in charge 5. What follow-up is necessary to implement the contingency plan? • Inventory and remedy, as necessary, all "mission critical° systems to ensure Y2K compliance -- document atl efforts • Test all back-up power generator(s) • Test altemative communications systems • Test fire detection and suppression systems • Stockpile necessary supplies as needed • Meet with all building "department heads" to familiarize them with the • contingency plan and provide them with copies of the written plan • Communicate with all building occupants about the potential Y2K problems and what contingency plans have been put in place (1) to ensure the continuation of building services, or (2) to safely evacuate the building • Test building evacuation plans • Train employees in the use of manual systems and test all manual systems for effectiveness • National League of Cities, Risk Infom~ation Sharing Consortium Tab 44. ýÿ • Y2KContingency Planning Guideline COMMUNICATIONS 1. For communications operations, what are the goals of a Y2K contingency plan? • To maintain or restore normal communications • To know the location of all personnel responding to calls • To document critical information with regard to communications 2. What are some of the problems one can expect in achieving these goals? • Malfunctioning or nonfunctioning telephone systems, including the 911 system • Malfunctioning or nonfunctioning vehicle radios • Power outages • Malfunctioning or nonfunctioning computer systems causing d'~ficulties • with documentation of calls 3. What are some of the possible solutions to the problems? • Secure supplies in advance, such as back-up radios, generators, e~.L a batteries, and fuel • Contact media outlets and local radio operators • Assign equipment to personnel • Prepare protocols to handle documentation manually • Plan in advance how to contact key providers in the event of disruption • Create a phone tree to contact off-duty personnel • Create an alternative method of communicating with staff in the event that the telephone systems are inoperable • Enlist and train employees from other non-emergency departments to assist 4. What steps should be taken --- what is the outline of the contingency plan to follow in the event of a Y2K incident? • Post a designated, high-level representative at the Emergency Operations Center • If normal systems are not operating, advise the public -through pre- arranged communications methods -what number s to call in case of . emergency, what constitutes and emergency, and to refrain from using systems that could interfere with emergency use. National League of Cities, Risk Information Sharing Consortium Tab 45. • Put back-up communications systems in use, such as cell phones, • pagers and radios • Station °runners° ftom non-emergency departments to use in the event of more serious communication breakdowns • Implement a system to verify information before it is passed along to departments and the public 5 What follow-up is necessary to implement the contingency plan? • Stockpile forms to use for manual documentation of calls • Pre-prepare appropriate announcements for the public with respect to how to communicate, what to communicate, etc. • Train personnel in the use of all back-up systems • Deade where employees will be stationed and coordinate with other departments • Review priorities for response • Secure supplies for the safety and wellbeing of employees • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time • • National League of Cities. Risk Information Sharing Consortium Tab 46. • Y2k Contingency Planning Guideline for COMPUTER-BASED TRAFFIC CONTROL EQUIPMENT 1. For computer-based traffic control equipmen>y what are the goals of a Y2K contingency plan? • To ensure the proper functioning of traffic signal control equipment • To ensure the proper management and reporting of traffic management systems • To provide adequate manual back-up systems in the event of the failure or malfunction of computer-based systems • To protect the safety of motorists and pedestrians 2. What are some of the problems one can expect in achieving these goals? • Older, °home-grown°, or modified computer-based traffic control systems • may not be Y2K- compliant or may not be able to be remedied in time for the millennium • Funding may not be readily available for remediation • Driving could become a minefield of interruptions and accidents • Bridges, tunnels, toll booths, ramp metering, electronic lane markers, and rush-hour signals that rely on computers for timing are subject to Y2K malfunctions • Communications disruptions could make it difficult or impossible to wam motorists of traffic obstructions, accidents, and so forth 3. What are some of the possible solutions to the problems? • Replace antiquated or non-Y2K-compliant systems • Rearrange priorities for resources, if necessary, to fund remediation efforts • Provide for adequate manual systems for backup • Communicate with the public concerning the potential hazards of driving conditions, alternative communications systems for obtaining information about traffic conditions, and how to report accidents, road obstructions, etc. • Coordinate with state and federal highway management agencies for assistance and the latest technological information • National League of Cities, Risk Information Sharing Consortium Tab 47. 4. What steps should be taken - what is the outline of the contingency • plan to follow - in the event of a YZK incident? • Based on an inventory and assessment of all systems, including embedded processors that are part of traffic signal equipment, traffic management systems, bridges with movable spans, communications systems, etc., set priorities for remediation or replacement • Identify all suppliers and obtain Y2K compliance certfication from them or technical assistance to attain compliance • Plan alternative traffic routing in the event of YZK emergenaes • Plan for communications with the public • Plan for adequate personnel and backup manual traffic control devices to handle heavier-than-normal 4. a„~c signal malfunctions • Find suppliers for backup handheld radios in the event of communications interruptions • Design manual record keeping procedures and systems • Identify all outside groups to coordinate efforts, especially law enforcement agencies 5. What follow-up is necessary to implement the contingency plan? • Test remedied or replaced systems • Train employees in all aspects of the contingency plan, including manual communications, record keeping • • Stockpile portable traffic signs • Communicate contingency plan with the public, especially how to obtain information about road conditions and how to report accidents • Provide funding for remediation and identify local, state, and federal sources of funds for remediation • National League of Cities, Risk Information Sharing Consortium Tab 4-8. Y2KContingency Guideline for EMERGENCY MANAGEMENT 7. For emergency management operations, what are the goals of a Y2K contingency plan? • To protect human life • To protect property • To protect the environment 2. What are some of the problems one can expect in achieving these goalsT • Inadequate time remaining to address all Y2K issues • Lack of authority on the part of the local govemment to compel organizations performing mission-critical operations to become Y2K- compliant • Sifting through misinformation, bad information, rumor, °doomsday" . scenarios° to verify critical information about Y2K hazards • Lack of human and financial resources to fix the problem • Malfunctioning or nonfunctioning communications • Malfunctioning or nonfunctioning computers used for information storage and retrieval 3. What are some of the possible solutions to the problems? • Appoint Y2K coordinator • Amend existing emergency management plans to include Y2K events • Assess vulnerabilities of existing plan and modify the plan as required • Assess local government's vulnerabilities to the Y2K problem • Open regular, facilitated communications with other govemment, community and business leaders • Locate all state and federal resources that may be available to assist with Y2K emergency operations • Inform citizens how to prepare for Y2K emergencies 4. What steps should be taken - what is the outline of the contingency plan to follow in the event of a Y2K incident? • Prepare written contingency plan • Prepare written policies and procedures for employees to follow to • implement the plan • Prepare communications for public awareness of the plan National League of Cues, Risk Infom~ation Sharing Consortium Tab 49. • Coordinate with other governmental and communifiy emergency agencies • • Locate two-way radios, back up batteries and other supplies needed for manual functioning 5. What follow-up !s necessary to implement the contingency plan - training, testing, monitoring, and so forth? • Conduct a thorough review of the local government's emergency operations plan with elected officials, department heads, and key personnel • Test the plan by providing a simulation of a Y2K incident, evaluate the outcome, and modify contingency plan, if necessary • Create and implement a public information strategy to educate the public and address questions and concerns of the public, the media, and local businesses • Pre-stage critical equipment and personnel throughout the towNcity • Keep all lines of communication open at all times • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time • • National league of Gies, Risk Information Sharing Consortium Tab 410. Y21~Contingency Guideline for EMERGENCY MEDICAL SERVICES 7. For Emergency Medical Services, what are the goals of a Y2K contingency plan? • To provide for uninterrupted emergency medical services for the citizens of the community 2. What are some of the problems one can expect in achieving this goal? • Malfunctioning or nonfunctioning equipment used in the EMS as a result of Y2K noncompliance on the part of suppliers and vendors • Malfunctioning or nonfunctioning communications • Lack of fuel and water for emergency vehicles • Lack of human and financial resources to cover an extended emergency • Inability of hospitals to accept emergency patients due to overload or malfunctioning systems • • Computerized record keeping may be interrupted 3. What are some of the possible solutions to the problems? • Develop relationships with alternative vendors and suppliers for certifiably Y2K-compliant equipment • Locate additional vehicles to use in case of emergency • Locate sources for additional fuel and water and proper storage facilities • Locate alternative radio communications • Coordinate planning efforts with local hospitals and emergency preparedness organizations • Develop an emergency staffing plan • Develop manual systems for record keeping • Develop instructional and public relations materials for the public 4. What steps should be taken - what is the outline of the contingency plan to follow in the event of a Y2K incident? • Stockpile critical supplies • Keep vehicles in peak condition, accelerate maintenance if necessary • Store emergency supplies of fuel and water • Have on hand two-way radios and auxiliary battery power • Meet regularly with outside agencies to coordinate plans • • Print up forms for manual record keeping National League of Cities, Risk Information Sharing Consortium Tab 411. ýÿ • Print off in advance of Decem~r 31, any instructional materials that are stored on computer disk and may be needed in case of emergency • • Prepare scripts for radio and N announcements about how to contact EMS in case of emergency, and other instructional materials for the public S. What follow-up !s necessary to Implement the cor-tingency plan - training, testing, monitoring, and so forth? • Train personnel to use manual systems of record keeping • Train personnel to use two-way radios • Rehearse communications for the public • Simulate a Y2K incident to test contingency plan • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time • • Natlonal League of Cities. Risk Inforrnatlon Sharing Consortium Tab 412. Y2KContingency Planning Guideline for FINANCIAL SOr i rVARE SYSTEMS 1. For financial software systems, what are the goals of a Y2K contingency plan? • To ensure that all essential functions of the financial software programs, such as payroll, accounts receivable, accounts payable, and daily record keeping, are uninterrupted and accurate • To ensure the uninterrupted flow of financial information to operating departments, as required 2. What are some of the problems one can expect in achieving these goals? • Inability to record and access information critical to financial processes • Computer systems malfunctioning or nonfunctioning because of Y2K problems • • Classic YZK date errors may render verification if data impossible or inaccurate • Lack of human and financial resources to fix the problem 3. What are some of the possible solutions to the problems? • Back-up computer files on a regular basis • Design manual record keeping forms and procedures • Print out tax tables and other tables used to calculate payroll deductions • Use manual checks temporarily • Develop check list for fraud detection • Develop appropriate communications for employees and vendors • Use temporary accounting personnel as necessary • Purchase and install new Y2K-compliant software • Reallocate budget to pay for remediation 4. What steps should be taken - what is the outline of the contingency plan to follow in the event of a Y2K incident? • Print a hard copy of databases to use to manually verify or retrieve data in the event of a computer malfunction or failure • Prepare a special ledger to record all accounts receivable and accounts payable • Prepare written policies and procedures for employees to follow • Print supply of manual checks National League of Cities, Risk Information Sharing Consortium Tab 413. ýÿ 5. What follow-up !s necessary to Implement the contingency plan - training, test/ng, monitoring, and so forth? • Train employees in the manual systems for record keeping • Train employees in the issuance of manual checks • Train employees in fraud detection • Test the plan by{~roviding a simulation of a Y2K incident, evaluata the outcome, and modify contingency plan, if necessary • Test all recovered or new computer systems for acxuracy of data and input data kept manually during "outage' • Coordinate efforts with other departments • National League of Cities, Risk I~om~adon Sharing Consortium - Tab 414. • Y2K Contingency P/an Guideline for FIRE FIGHTING 1. In the area of fire fighting operations, what are the goals of a Y2K contingency plan? • To maintain uninterrupted communications within the fire department and with other departments • To ensure protection of human life and property • To maintain equipment in excellent working order 2. What are some of the problems one can expect in achieving these goals? • Malfunctioning of communications equipment and fire fighting equipment due to Y2K problems • Malfunctioning of water system, diminishing the capability to respond to fires • • Disruption of energy services, causing an increased number of calls • Increase in the number of false alarms • Neighboring fire companies may not be able to render assistance because of malfunctioning communications and overloaded systems • Malfunctioning fire suppression systems 3. What are some of the possible solutions to the problemsT • Order and secure supplies in advance, including water, fuel, and items that provide for the safety and comfort of employees • Secure and test back-up communications devices, including radios • Determine communications procedures, including what frequencies to use and stationing points for point of sight radios • Establish appropriate phone trees or back-up systems in the event that phone service is disrupted • Assign a representative (Chief) to the Emergency Operations Center • Ensure that older back-up equipment is in working order and that employees know how to operate it • Review priorities for responding to calls • Develop alternative water supplies in the event water is disrupted due to event • Train additional personnel for certain responsibilities • ~IIIIr~I National League of Cities. Risk Information Sharing Consortium Tab 415. 4. What steps should be taken - what is the outline of the contingency • plan to follow - in the event of a Y2K incident? • Personnel must understand their responsibilities, who will be on call, and where they will be located • During date rollovers, if staff on call note there is a problem, they should communicate to-the rest of staff • The representative should be stationed at the Emergency Operations Center • Staff should be stationed according to the contingency plan • Locate alternative water and fuel supplies • Keep water in tanker trucks • Design a public awareness campaign to alert the public concerning possible personal Y2K problems that could affect the ability of the fire service to respond; how to communicate needs in the event of emergency, and so forth 5. What follow-up is necessary to implement the contingency plan? • Personnel should be trained in the equipment and procedures to be implemented • Back-up systems should be tested • The fire department should coordinate with other departments and agencies to ensure communications and functions • • Training in the department and with the utilities departments, police, EMS, hospitals, and other agencies should be conducted • Public announcements should be prepared in advance and stockpiled with the towNcity public relations department • Review fire suppression systems and alarm systems with major towNcity locations • Review evacuation plans with nursing homes, hospitals, and other such facilities to assist them with readiness in the event of emergency • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time • National League of Cities, Risk Information Sharing Consortium Tab 416. ýÿ • Y2KContingency Planning Guideline for HOSPITALS 1. For hospitals, what are the goals of a Y2K contingency plan? • To continue to provide high-quality hospital services for the community • To ensure uninterrupted cash flow to allow the facility to remain open to provide service 2. What are some of the problems one can expect in achieving these goals? • Some internal computerized systems may fail despite efforts to remedy • Stakeholders, business partners, public services, and utilities may not be Y2K-compliant and may cause disruptions in hospital services • Remediation and Y2K-compliance tasks may strain human and financial resources • Full work schedules may make it difficult to schedule training sessions • 3. What are some of the possible solutions to the problems? • Work closely with all suppliers to ensure Y2K compliance or identify new suppliers, as necessary , • Identify all systems that are potentially subject to Y2K problems • Remedy all systems that are subject to Y2K problems • Identify manual back-up systems for automated medical procedures and equipment • Identify sources for back-up water and fuel • Communicate with all personnel that overtime for training may be a necessary component of contingency planning 4. What steps should be taken - what is the outline of the contingency plan to follow in the event of a Y2K incident? • Work with local government Y2K readiness team to develop a community preparedness plan • Design training programs in the use of manual systems for such processes as patient care, recordkeeping, etc. • Design education programs for patients and the public to ensure that expectations are realistic • • Design education programs for physicians and other medical providers as to their specific roles in the community preparedness plan National League of Cities, Risk Information Sharing Consortium Tab 417. ýÿ • Mobilize alternative water and power sources ~ • • Keep communicaations channels open • Consider not scheduling any elective surgical procedures for an appropriate time frame before and after January 1, 2000, to ensure adequate services in the event of emergency or in the event that some systems fail 5. What follow-up is necessary to implement the contingency plan? • Educate and train staff and the public • Rehearse existing emergency plans and adapt for Y2K specific problems • Repair or replace all mission-critical systems in priority order • Test all systems • Stockpile water, food, medical supplies • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time • • National League of Cities. Risk Information Sharing Consortium Tab 418. • Y2KContingency Planning Guideline for INTERACTION WITH OUTSIDE AGENCIES 7. What are some examples of outside agencies? • County, State, and Federal Agencies • Mutual Aid Agreements with other local public agencies • Schools • Civic Groups • Churches • Red Cross • Hospitals • Volunteer Organizations • Industry, Interstate Commerce • Funeral Homes • Financiallnstitutions • Local Businesses • Labor Groups • The Media • Cable, Telecommunications • Other communications agencies 2. For interaction with outside agencies, what are the goals of a Y2K contingency plan? • Elevate the public awareness of Y2K issues • Mobilize resources to ensure the continued health and safety of the community • Identify key players in each outside agency who will help prepare, review, and implement the contingency plan • Review any existing intemat emergency/contingency plans to see where revisions may be necessary • Identify and rank-order parts of the infrastructure that may be at risk • Develop communications plans to notify outside agencies if and when their help may be needed; make sure communications equipment is compliant, and/or develop and implement alternative modes of communications, • Inventory community resources and stockpile certain key resources that may be at risk • Restore community to normal operations as quickly as possible after any problems pass 3. What are some of the problems one can expect in achieving these goals? • Identifying effective community leaders to organize contingency plans • Obtaining the commitment from key individuals in each outside agency to • fully participate • Coordinating the activities of diverse community groups National League of Cities, Risk Info...~Gan Sharing Consortium Tab 419. ýÿ • Obtaining the necessary resources from each outside agency • Overcoming attitudes among some community participants that Y2K issues are not real • Diffusing fears about events in the community • Establishing effective communications among outside agencies • Lack of time to effectively marshal community resources 4. What are some of the possible solutions to the problems? • The chief elected official of the community must take a leadership role in soliciting help from outside agencies and defining the roles and responsibilities of each agency • Review and amend, as appropriate, existing emergency plans to address issues • Review and amend, as appropriate, mutual aid agreements to address issues • Develop and implement a publicity campaign to inform the public about what is being done to manage potential problems, and to reduce the probabi{'~ty of fear and panic • Establish a phone tree, and other communications methods, to contact outside agencies, as required ' 5. What steps should be taken - what is the outline of the contingency plan to follow - in the event of an incide~? • Establish a local command center and alternate command center to be activated on or about December 31, 1999 • Appoint a contingency plan leader who is in charge of the command center and who is on site on December 31, 1999, and on other Y2K sensitive dates • Activate the communications plan/phone tree as necessary • Mobilize the outside agencies and resources as needed, according to a priority or triage system 6. What follow-up fs necessary to implement the contingency plan? • Revise the existing emergency plan or create a new one • Educate and train key individuals in their respective responsibil'~ies. • Establish a command center • Conduct a mock driN to test the plan -critique the results of the test - revise he plan as needed • Communicate, communicate, communicate • National League of Cities, Risk Infortnadon Sharing Consortium Tab 420. ýÿ • Y2KContingency Planning Guideline for LAW ENFORCEMENT OPERATIONS 7. For law enforcement operations, what are the goals of a Y2K contingency plan? • To enable law enforcement agencies to safeguard the lives and property of the public and to maintain order in emergency situations 2. What are some of the problems one can expect in achieving these goals? • The volume of emergency calls may be greater than staff can handle • Emergency response may be hampered because of possible communications problems • Internal and external lines of communications may be disrupted • Computer data may be inaccessible for background checks, record keeping, detainee processing, etc. • Civil unrest, looting, vandalism, etc. could exacerbate stressed resources • Lack of human and financial resources to effectively deal with Y2K remediation 3. What are some of the possible solutions to the problems? • Set up network of response centers for handling emergencies • Develop staffing plan to maximize personnel resources available for work in emergency situation • Use auxiliaries, reserves, and volunteers to assist in staffing nonhazardous functions • Develop alternative modes of communications • Develop backup manual processes for record keeping and processing activities • Reallocate budget, if necessary, to free up funds for Y2K remediation • Use volunteers for certain nonhazardous tasks 4. What steps should be taken - what is the outline of the contingency plan to follow- in the event of an incident? • Coordinate public information effort to address pre- and post-Y2K- emergency concerns and information • Establish partnerships with television stations, radio stations, print and • other media National League of Cities, Risk Information Sharing Consortium Tab 421. • Coordinate with Public Works Departments for alternative traffic control for intersections -stockpile portable stop signs • Coordinate with other agencies such as the National Guard, fire department, emergency management, emergency medical services, hospitals, etc. for handling various emergency situations • Provide authorization (policy) for emergency equipment procurement and establish a vendor/supplier list • Set up family preparedness plan for employees 5. What follow-up is necessary to Implement the contingency plan? • Test contingency plans • Stockpile paper forms to complete manual records in case computers are inoperativve • Stockpile back-up radios and batteries in the event that normal communications are inoperative • Ensure that all law enforcement vehicles are in the best working order - accelerate routine maintenance, if necessary • Safely stockpile gasoline for all public entity vehicles • Train volunteers and cross-train employees • Educate the public • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time . • National League of Cities, Risk Infonnaijon ShaAng ConsoRium Tab 422. Y2KContingency Planning Guideline for ~' LICENSING, PERMI i ~ ING, and REGISTRATIONS 1. For licensing, permitting, and regis:~ d:ions, what are the goals of a Y2K contingency plan? • To continue to renew, issue new, and check licenses, permits, and registrations without interruption. 2. What are some of the problems one can expect in achieving these goals? • Inability to access information critical to the process of issuing or checking licenses, permits and registrations • Inability to deposit cash receipts ff banks are experiencing Y2K problems • Classic Y2K date errors may render checking in-force dates and expiration dates inaccurate or impossible • Inabil""ity to record new information that other agencies may need to verify 3. What are some of the possible solutions to the problems? • Back up computer files on a regular basis • Design manual record keeping forms and procedures • Develop procedure for issuance of temporary certficates • Develop check list for fraud detection • Locate safe deposit for funds in the event banks are closed for a period of time • Develop appropriate communications for the public in the event problems do occur and for what to expect 4. What steps should be taken - what is the outline of the contingency plan to follow in the event of a Y2K incident? • Print a hard copy of the database to use to manually verlfy data in the event of a computer malfunction or failure • Print up a supply of forms for temporary licenses, permits, and registrations • Print up a supply of forms for manual record keeping • Prepare written internal accounting controls for temporary manual systems to handle funds • • Print up appropriate communications and instructions for the public National League of Cities. Risk Information Sharing Consortium Tab 423. 5. What follow-up is necessary to implement the contingency plan - baining, test/ng, monitoring, and so forth? • Train employees in the manual systems for record keeping, and license, perms and registration issuance • Train employees in the temporary measures for handling receipts • Train employees in fraud detection • Test all recovered or new computer systems for accuracy of data, and input data that was kept manually during "outage" • • Natlonal League of Citles, Risk In]'. ~~~~on Sharing Consortium Tab 424. ýÿ Y21~Contingency Planning Guideline for NURSING HOMES, SENIOR HEALTH and HOUSING FACILITIES 7. For nursing homes and senior health and housing facilities, what are the goals of a Y2K contingency plan? • To protect human life • To ensure continuity of care for all residents 2. What are some of the problems one can expect in achieving these goals? • Inadequate time remaining to asses Y2K vulnerabilities and address all Y2K issues • Lack of human and financial resources to fix the problems • Malfunctioning or nonfunctioning communications • Potential lack of water, electricity, or other public utilities • Failure of vendors to provide necessary supplies • Interruption of revenue stream from non-Y2K-compliant payers • Fear and panic on the part of residents and employees • Concern that facilities may become shelters by default because they may have generators and food supplies 3. What are some of the possible solutions to the problems? • Provide on-site utility back-up with committed source of fuel for generator(s) • Provide back up communications link to EMS, physicians, and hospitals • Provide secondary water source, vendors for food, medical, and other supplies • Locate portable toilets • Open regular, facilitated communications with local emergency management agency • Locate all state and federal resources that may be available to assist with assessment and mitigation of Y2K problems • Provide staffing plan for emergency operations and locate volunteers • Locate alternative facilities for residents and transportation to get them there in the event facility becomes inoperable and dangerous for residents • National League of Cities, Risk Information Sharing Consortium Tab 425. 4. What steps should be taken -what is the outline of the contingency • plan to follow in the event of a Y2K incident? • Mitigate all internal Y2K problems • Identify all potential hazards and develop plans to respond to systems failures • Prepare written~Qntingency plan • Prepare written policies and procedures for employees to follow to implement the plan • Prepare communications for residents about the plan, to answer questions and concerns, and to quell fears • Coordinate with governmental and community emergency agencies • Locate two-way radios, back-up batteries and other supplies needed for manual functioning • Stockpile water, food, medical supplies 5 What follow-up is necessary to implement the contingency plan - training, testing, monitoring, and so forth? • Test the plan by providing a simulation of a Y2K incident, evaluate the outcome, and mod'~fy contingency plan, if necessary • Train employees in operating manual systems • Train volunteers • Train employees in all phases of the contingency plan • • Communicate the contingency plan to aH residents • Continually communicate with vendors and suppliers • Continually Communicate with local government emergency management agencies • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must !~ on duty for extended periods of time • National League of Cities, Risk Information Sharing Consortium Tab 426. ýÿ • Y2IlContingency Planning Guideline for OUTSIDE VENDORS 7. For outside vendors, what are the goals of a Y2K contingency plan? • To ensure that all outside vendors providing goods and services to the public entity have the resources, personnel, and expertise necessary to assist the public entity in providing uninterrupted service to the public • To ensure that the revenue stream to the public entity is uninterrupted • To ensure that historical data are preserved • To ensure that all vendors are Y2K-compliant 2. What are some of the problems one can expect in achieving these goals? • Vendors may not be Y2K compliant • Vendors may refuse or otherwise be unable to guarantee contingency backup support by co..l. act • Vendor may be unable to obtain or afford necessary Y2K liability insurance per public entity's contract requirements • Public entity may not be able to locate qualified -compliant vendors and suppliers to replace or supplement current vendors 3. What are some of the possible solutions to the problems? • Evaluate all vendors thoroughly, check references, obtain Y2K certifications, and obtain insurance certficates • Negotiate new terms and conditions with existing vendors, if necessary, to cover Y2K compliance and cooperation with contingency planning • Include vendors in contingency planning process • Identify early on any potential problems that may cause Y2K events • °Borrow° off-site systems to perform necessary administrative, financial functions • Use manual systems for administrative functions as a backup 4. What steps should be taken - what is the outline of the contingency plan to follow in the event of a Y2K incident? • Order additional supplies in advance • Locate alternative or additional vendors that are Y2K compliant • Modify budget -reallocate expenses, allocate reserves, etc. - to ensure • funding for contingencies • Backup all critical data and store in secure location National League of Cities, Risk Information Sharing Consortium Tab 427. ýÿ 5. Whatfollow-up is necessary to implement the cor~ngency plan - educafion, training, testing, monitoring etc.? • Orient entire administrative staff n3garding the plan and provide a written copy to all persons on the emergency team • Design a plan that is task specific and assign designated individuals to the specfic tasks - • Plan for redundancy of personnel • Conduct simulated emergencies well before Y2K-sensitive dates arrive; critique results; modify plan as requin:d • • National League of Gies, Risk Inforrnatlon Sharing Consortium Tab 428. • Y2I~Contingency Planning Guideline for PERSONNEL HEALTH AND SAFt ~ 1f 7. What are some of the examples of personnel? • Employees • Volunteers • Members of the public • Contract service organizations 2. !n the area of personnel health and safety, what are the goals of contingency plan? • To develop a transition plan to ensure in a reasonable manner the personal and organizational safety of local government employees, volunteers, contract service agencies, members of the public, and others consistent with the safety policies and practices of the governmental agencies affected by events • 3. What are some of the problems one can expect in achieving these goals? • Asking people to do tasks they are not trained to do • Inadequate training in preparedness • Absence of adequate preparedness plans • Lack of proper equipment to deal with emergency situations -inventory such as flashlights, batteries, personal protective equipment, generators, etc. • Exposure to chemicals or infectious waste in large quantities • Equipment malfunction or lack of back up equipment • Facility malfunction -lighting, sanitation, elevators, HVAC, etc. • Physical stressors -cold weather, fatigue, emotional stress, inadequate physical strength and endurance to handle specific tasks, etc. • Facility security -riots, theft and looting, vandalism, jails, etc. • Vehicle accidents • Communication networks and potential breakdowns 4. What are some of the possible solutions to the problems? • Identify alternative locations in which to operate that are secure and compliant . Arrange transportation of operations to secure and compliant locations • Purchase additional equipment and secure supplies National League of Cities, Risk Information Sharing Consortium Tab 429. • Enter into written agreement with suppliers and contractors which are . Y2K compliant • Develop written emergency staffing plans • Seek out, evaluate, orient, train, and maintain contact with potential volunteer groups • Mandate "buddy system" for all field tasks • Educate volunteers in general safety measures -don't use elevators, stop at railroad crossings, etc. • Direct volunteers -provide proper supervision, personal protective equipment, advance roster control, etc. • Mandate use of personal protective equipment by employees and volunteers • Educate employees regarding safe manual operation of automated equipment 5. What steps should be taken - what is the outline of the contingency plan to follow- in the event of an incident? • Identify and communicate a hierarchy of incident commanders in all service areas • Differentiate, assign, and clearly communicate which emergency operations employees can accomplish and which volunteers can accomplish • Develop and have "how to" briefing sheets available for quick orientation of volunteers for critical systems 6. What follow-up is necessary to implement the contingency plan? • Fund contingency plan implementation • Procure additional supplies from Y2K compliant suppliers • Train volunteers and monitor their practices • Heighten coordination of emergency preparedness plans with all heads of all public services • Use Public Service Announcements and Community Access TV channels for common sense emergency preparedness measures, such as education about "rules of the road" if traffic signals are out, carbon monoxide detectors, checking fire extinguishers, emergency supplies to have on hand, etc. • Designate and empower a coordinator for emergency relief • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time • National League of Cities, Risk Information Sharing Consortium Tab 430. ýÿ • Y2l>tContingency Planning Guideline PUBLIC AWARENESS CAMPAIGN 1. Describe some of the communications vehicles to involve: • Public access TV and radio • Web sites • Community newsletters • "Road Show" • Billboards, bus signs • Envelope staffers • State league and pool newsletters • Other media 2. !n the area of public awareness campaign, what are the goals of a contingency plan? • To establish a "Public Awareness Campaign Committee° of municipal employees, citizens, and business people to function for pre-event education and awareness • To provide public education about astep-by-step plan on a regular, . periodic basis • To focus on "Emergency Preparedness° issues • To allay any fears or anxiety brought about by perceived Y2K disasters 3. What are some of the problems one can expect in achieving these goals? • Fear and panic as a result of misinterpretation of campaign messages or as a result of being exposed to too much inflammatory information in the press, on the intemet, etc. • Lack of public concern about the issues and problems • Timing of information. (e.g., release of information too early could result in lack of interest and could require costly repetition in order to get the message out) • Lack of resources to implement effective campaign • Difficulty with coordinating media and outside agencies necessary to help cant' the message 4. What are some of the possible solutions to the problemsT • Focus the public awareness campaign on positive aspects of pre- planning as a preventive measure • Reinforce public awareness during town/city council and other public meetings National League of Cities, Risk Information Sharing Consortium Tab 431. ýÿ • Work with print and broadcast media executives to encourage objective, . unsensational coverage of Y2K issues • Develop printed materials, press releases, N and radio scripts dealing with Y2K issues and contingency plans to be released at appropriate intervals during the last half of calendar year 1999 5. What steps should be taken - what is the outline of the contingency plan to follow - in the event of a Y2K incident? • Repeat pnr-event awareness information in appropriate manner to communicate facts, information and instructions to the public, as required • Develop questions and answers or sample responses to use to train employees and volunteers what to say in the event of an incident • Prepare a plan to employees and volunteers to disperse into the community with information, as ne^~~Sary 6. What follow-up is necessary to implement the contingency planT • Public Awareness Campaign Committee should meet regularly to establish and implement the plan • Educate the local legislative body about the need for the campaign • Train volunteers and town/city employees to understand ..P~~en concerns and to be able to address citizen questions • Meet with citizen groups and community leaders to coordinate • communications • National League of Cities, Risk Information Sharing Consortium Tab 432. . Y2l>t Contingency Planning Guideline for REVENUE BILLING and COLLECTION 1. In the area of revenue billing and collection, what are the goals of a Y2K contingency plan? • To ensure revenue bills are produced accurately, timely, and mailed to the proper recipient • To ensure the system calculates and accurately records the revenue information in the database • To ensure outside vendors are Y2K compliant, i.e., banks, utilities, mail delivery, etc. • To ensure the funds are collected in a timely manner and recorded accurately • To provide for safeguard of funds in the event of a Y2K bank failure 2. What are some of the problems one can expect in achieving these • goals? • Lack of power • Inoperative or malfunctioning computer systems • Non-Y2K-compliant vendors, including financial institutions • Vendors with no contingency plans • Disruption in mail delivery causing disruption in flow of funds • Inadequate cash available for payment of expenses • Lack of time and resources to accomplish goals 3. What are some of the possible solutions to the problems? • Have on hand standby generators for electricity • Produce billings manually • Produce manual records of cash collections • Produce hardcopy of all relevant database records before year-end • Produce January and February 2000 billings before year-end based on an estimate ff exact amount unavailable • Request the public keep supporting documentation of all payments • Identify courier service for collection and payment of funds • Order preprinted billing forms and supplies to process billing and collections manually • Have on hand a batch of cert~ed checks from the bank before year-end, ready for emergency payments to vendors • Have sufficient petty cash on hand National League of Cities, Risk Information Sharing Consortium Tab 433. ýÿ • Make inquiry of vendors to determine their contingency plans • • Arrange for volunteers or outside contractors to perform manual processing • Appoint a key employee to be responsible for communicating and resolving problems 4. What steps should be taken - what is the outline of the contingency plan to follow !n the event of a Y2K incidentT • Determine what operations are not functioning • Develop proper communications for employees, the legal department, and others concerning nonfunctioning operations, and how and when the contingency plan will be invoked • Put back-up resources on notice • Record the processes to follow: • Manually record cash receipts in a ledger, noting date received, payee, check number, if applicable, and purpose of payment • Deposit cash receipts in the bank, or maintain in a safe deposit box at the municipal office if the bank is closed . • Manually type revenue bills on preprinted forms • Postpone mailing of bills if delivery system is inoperative • Refer to hard copy database when needed • Enter transactions into computer database when system is fully functional ~ . • Maintain communications with the key employee responsible for resolving problems 5. What follow-up !s necessary to /mp/ement the contingency plan? • Educate staff about potential Y2K problems and the elements of the contingency plan. • Train, volunteers, and outside contractors staff in the manual processes • Identify and test appropriate internal controls for the manual processes • National League of Citjes, Risk Information Sharing Consortium Tab 434. ýÿ • Y2l>>; Contingency Planning Guideline for SNOW REMOVAL t. For snow removal, what are the goals of a Y2K contingency plan? • To provide the same or equivalent level of services provided during normal snow removal operations • To maintain accurate records • To ensure necessary supplies are on hand for severe weather 2. What are some of the problems one can expect in achieving these goals? • Conflicting priorities might divert personnel to more urgent tasks • Snow removal equipment might be needed for more urgent transportation tasks • Suppliers of snow removal goods and services might be unable to deliver as needed . • Sufficient fuel might be difficult to obtain • Communications might be disrupted making it difficult to contact employees and to receive calls of hazardous conditions • If computers are malfunctioning, record keeping might become difficult or haphazard 3. What are some of the possible solutions to the problems? • Establish contracts with private snow removal contractors for trained personnel and adequate equipment and supplies in addition to contacts typically in place for seasonal needs • Locate Y2K-compliant suppliers of fuel • Locate back-up suppliers for fuel, sand, salt • Develop manual recordkeeping procedures 4. What steps should be taken - what is the outline of the contingency plan to follow - in the event of a Y2K incident? • Plan for extraordinary deployment of personnel during the holiday and potential emergency • Negotiate contracts with private snow removal contractors to be on call as needed in emergency situations • Stockpile sufficient snow removal supplies to last for alonger-than-typical • period National League of Cities, Risk Information Sharing Consortium Tab 435. • Develop an emergency communications plan to notify employees of work assignments • Develop manual record keeping procedures 5. Wha! follow-up is necessary to implement the contingency plan? • Determine the number of personnel and amount of equipment that would be necessary to complete snow removal operations under various types of snow emergencies • Train personnel from other departments in use of snow removal equipment to use as backup • Develop plan to deploy contractor's personnel in the event city/town personnel are needed by other departments - alternatively, develop a plan that could involve city/town use of contractor's employees using city/town equipment, or city/town employees using contractor's equipment • Develop appropriate contract language to be sure contractor has appropriate insurance, trained personnel, reliable equipment, performance bonds, and is Y2K-compliant • Conduct training sessions for contractor's personnel to familiarize them with city/town snow removal procedures, record keeping, and routes, including driving the routes ahead of time • Test city/town fuel system to be sure it is Y2K compliant in order that it will deliver fuel as needed • • Develop plan for alternative safe and secure fuel storage in the event regular sources are not likely to be dependable • Coordinate with local fuel delivery sources to ensure adequate fuel is available to meet peak demand • Obtain certfication that fuel delivery sources are Y2K-compliant • Obtain certification from two-way radio communications equipment suppliers/manufacturers that equipment is Y2K-compliant • Develop back-up communications plan (e.g., cellular phones, handheld radios) including locating equipment and training personnel to use the equipment for both city/town personnel and contractor personnel • Develop forms for manual record keeping, and procedures for use, and train both city/town and contractor personnel about the necessity for record keeping and in the use of manual systems • Develop communications plan to instruct the public on what to expect in the event of emergency and how to communicate with the c'ity/town in the event of a winter weather emergency • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time • National League of Cities, Risk Information Sharing Consortium Tab 436. ýÿ • Y2KContingency Planning Guideline for VOTER REGISTRATION 1. For voter regi,.:~ dean, what are the goals of a Y2K contingency plan? • To ensure that citizen name and address information is recorded accurately and is accessible as required • To continue to be able to register voters by obtaining and maintaining citizen information 2. What are some of the problems one can expect in achieving these goals? • Inability to access information critical to the process of voter registration • Computer systems malfunctioning or nonfunctioning due to Y2K problems • Classic Y2K date errors may render verification if data impossible or inaccurate • • Inability to record new information that other agencies may need to verify 3. What are some of the possible solutions to the problems? • Back up computer files on a regular basis • Design manual record keeping forms and procedures • Postpone new voter registration until systems are con-ected • Develop checklist for fraud detection • Develop appropriate communications for the public in the event problems do occur 4. What steps should be taken - what is the outline of the contingency plan to follow in the event of a Y2K incident? • Print a hard copy of the database to use to manually verify data in the event of a computer malfunction or failure • Print up a supply of forms for temporary recording of voter registration data • Prepare written policies and procedures for employees to follow • Print up appropriate communications and instructions for the public • Inform the legal department of the contingency plan • National League of Cities, Risk Information Sharing Consortium Tab 437. ýÿ S Whatfollow-up Is necessary to Jmplement the contingency plan - • tralning, testing, monitoring, and so forth? • Train employees in the manual systems for record keeping • Train employees in the issuance of temporary voter registration certificates • Train employees in fraud detection • Test the plan by providing a simulation of a Y2K incident, evaluate the outcome, and modify contingency plan, if necessary • Test all recovered or new computer systems for accuracy of data and input data kept manually during "outage° • National League of Cities, Risk Infomtation Sharing Consortium Tab 438. Y2I~Contingency Planning Guideline for WASTEWATER COLLECTION SYSTEM 1. For a wastewater collection system, what are the goals of a Y2K contingency plan? • To maintain or restore a normal level of service • To protect the public from the effects a malfunctioning wastewater collection system 2. What are some of the problems one can expect in achieving these goals? • Disruption of electricity to lift stations • Malfunction of alarm systems at lift stations • Lack of adequate human and other resources to handle emergencies • Contamination of the water supplies • Disruption of communications • Lack of funds for Y2K remediation 3. What are some of the possible solutions to the problems? • Identify alternative power sources • Identify needed manual backup systems such for pumping and moving wastewater • Plan for the number of people necessary to operate back-up systems, identify who the individuals are in other departments to lend assistance, and plan for overtime shifts • Develop communication plan to notify the public in the event of emergency • Develop communication plan for internal communication • Coordinate services with other departments and the community 4. What steps should be taken -what is the outline of the contingency plan to follow - in the event of a Y2K incident? • Ensure that back-up generators are on site and operative • Use a vacuum truck to pump wastewater in the event the generators cannot handle the flow • • Locate a tanker truck to hold wastewater, if necessary • Arrange with other departments for the use of this back-up equipment, if necessary National League of Cities, Risk Infonration Sharing Consortium Tab 439. ýÿ • Ensure that there is an adequate fuel supply for the back-up generators • and trucks • Establish a line to bypass a lift station, if necessary. Contract with a construction company to install the bypass on an as-needed basis • Establish policy and procedures for restricting the public's use of water to reduce the flow of wastewater • Develop communications plan to alert the public to the required precautions 5. What follow-up is necessary to implement the contingency plan? • Test backup generators to be sure they are operable • Test all other back up equipment to be sure it will operate as expected • Draft communications to inform the public about water use restrictions • Cross-train personnel from other departments to assist with manual systems • Train employees in personal Y2K readiness to help ensure the well-being of the employees' families in the event that employees must be on duty for extended periods of time • • National League of Cities, Risk Infom~ation Sharing Consortium Tab 4-40. Stomp on the mullennium bug PERSONAL PREPAREDNESS _~ J J J r J J J J Y BAR 2000 AND YOU Introduction: Page 1 of 3 In the eazly days of computers, programmers created a two digit year field for the date as a way to conserve the amount of memory space m the computer. Therefore, 1998, is read as 98. When the • Yeaz 2000 comes, some computer systems will think it is 1900. This may not affect some systems that do not use date and time functions in their system. However, this problem may dramatically impact any system that calculates, or schedules, whether it be calculating your age for retirement benefits, or reporting scheduled maintenance for equipment and vehicles. Since 1996, the City of Bellevue has been working to minimize the impacts of the Millennium Bug on City services. This includes assessing all equipment and systems to see if embedded chips aze used, replacing and/or updating computers and systems to be "Y2K compliant" and creating contingency plans to respond should there be service interruptions from agencies that provide electricity, water, sewer treatment and other supplies. Preparing our community for a disaster, whether it be natural or technological, must be a partnership between government and citizens. We aze doing our part to be prepazed for any consequences the Yeaz 2000 may bring. Here aze some ways that you, as a citizen, can join the partnership and prepare your home and your family. Safeguarding your records ~- Get paper records of your finances (from your bank, mortgage company, investments and ~ reti,~,~~ent fund, etc.) :, Watch for improper billing and be sure you aze not being overcharged. 7 Get a copy of your credit report • Preparing Your Home http://www.ci.bellevue:wa.us/IS/y2k/y2kstomp.htm 2/24/99 s~ra~peN~E ~LLENNI®M ~~6 ýÿ Stomp on the mullennium bug Page 2 of 3 ~- Contact the maker of your home thermostat (some are eh,.,l.,,nically controlled) and home security systems to see if they are Y2K compliant. If not, either learn how to manually override • the system or replace them with one that is Y2K compliant. ~+ Prepare for inconsistent services of heat, power, phone, water, food supply, and prescriptions ~ Contact the maker of your personal computer and ask if your make and model of computer is ~ Y2K compliant. Even if the manufacturer says the computer is Y2K compliant, be sure to back- up any data on your computer at least 24 hours before the year 2000 date changes. ~ If you have any medical equipment.that is digital, check with the manufacturer for Y2K T compliance. (Often major companies have web sites that will list their products and if they have been tested for Y2K compliance.) Personal and family preparedness: Prepaze as you would for a natural phenomenon, such as ice storms, tornado, earthquake, and power outages. For most natural disasters, you are encouraged to rr~~t,~a`: for 3 days without most government or commercial services. This includes utilities, pharmacies, grocery stores, gas stations, banks, etc. Because there is no way to fully anticipate the impact of the "millennium bug", you may want to consider extending your prepazedness plan for 7 days. ~ Water - ~ r One gallon per person, per day for 3-7 days ~ Purifying agents ~ Food ~ i Ready to eat canned meats, fruits and vegetables r Soups, Canned milk, Juices r Stress foods like canned pudding, cookies and hazd candy • r Staples ldce sugaz, salt & pepper .- High energy foods like peanut butter, nuts, trail mix, etc. .- Manual can opener .- Something to heat water safely with, like a small ca...r stove may. Non Prescription Medications •- Aspirin or non-aspirin pain reliever r Antacid .- Laxative rAnti-diarrhea medication r Cold & Flu medications •- Eye Wash r Antiseptic or hydrogen peroxide •- Basic first aid kit Sanitation r Toilet Paper .- Feminine supplies •- Plastic gazbage bags & ties .r Plastic bucket with tight lid ~ Household chlorine bleach •- Soap, liquid detergent and waterless anti-bacterial soap r Antibacterial wipes Tools and Supplies r Mess kits or paper plates and plasticwaze .- AM/FM radio and flashlights with extra batteries .- Fire Extinguisher, small canister, ABC type r A safe alternate heat source or warm blankets and sleeping bags • ~- Prescription Medications • .- • Have at least 3-7 days of prescription medications on hand before the New Yeaz http://www.ci.bellevue.wa.us/IS/y2k/y2kstomp.htm 2/24/99 Stomp on the mullennium bug Page 3 of 3 Activities for children who have no TV or video games r Puzzles, games, books,•coloring books and crayons ~, Fill up the fuel tanks of all your vehicles A small amount of cash in small bills (in case cash machines and credit card service is Interrupted) If there are interruptions in basic services such as water, power and communications: • ~-, Listen to your battery operated AM/.FM radio for inf......ation from your emergency service r.~,, riders. Be sure you have .:~.l.k batteries so that you can use the radio for up to a week. ~- Only ca11911 to report a life threatening emergency. Otherwise, stay off the telephones and cell phones. ~- Organize your neighborhood before the new millennium to help each other respond to any interruptions created by the change in new yeaz. The City of Bellevue has a program called Strengthening Prepazedness Among Neighbors that is designed to help neighborhoods prepaze for disasters. Call 425-452-7923 for more information or to schedule a program for your neighborhood. GET PREPARED NOW J J J J ~ J J J • [Information Services Home Paoe ~[ IT Mission j[ IT Strategic Plan ][ Y2K ] [Search ] (Index ] (About Bellevue ] [Regional links ] [Public Records ] (Gifu of Bellevue Home Page ] Copyright ®1998 City of Bellevue -All rights reserved. Please con[act individual denartmenu with c ~..::,..t in:~,.....ation requests. Comments on the design of this site should be directed to the Webmaster. http://www.ci.bellevue.wa.us/IS/y2k/y2kstomp.htm ?J24/99 ýÿ American Red Cross -Y2K Preparedness . ,. ~d DNas~sr Senicas • .,- ~1' Y2K WHAT YOU SHOULD KNOW (PDF Filc) For more than 100 years, the American Red Cross has been at the cutting edge of disaster relief ~ activities, helping people prevent, prepare for, and cope with disasters and other emergencies. That's why your Red Cross has published the following • information about "Y2K"--its potential effects and what you can do to be prepared. FREQUENTLY ASKED QUESTIONS What is "Y2K" and why are people concerned? ro vlaw PDF files, rou ~~~ ~ to download the Adobe Acrobat The Year 2000 technology problem, or bug, as it is Reader. sometimes called, was created In the early days of computers, when memory in computers was scarce and expensive. Programmers took shortcuts whenever possible to save space. Instead of using a four-digit code for year dates, atwo-digit entry was used. This practice persisted, long after the need for saving space was eliminated. The two-digit code • also was used in embedded chips, which exist in many devices that control processes, functions, machines (like cars), building ventilation systems, elevators, and 5re and security alarm systems, which are part of our everyday lives. When the year 2000 comes, programs that have been coded with two-digit year codes will not distinguish between the years 2000 and 1900. If the program includes time-sensitive calculations or comparisons, results are unpredictable. No one kn~„~ ++ ~ what problems may occur, how widespread they may be, or how long they will last. The good news is that federal, state, and local governments; banks and other financial institutions; retail businesses, and every other group affected by this problem have been working to resolve it, and a great deal of progress has been made. When could Y2K problems happen? Most people anticipate Y2K problems may happen December 31,1999, at midnight. Many experts predict that the problem is more likely to be a persistent one over a few years rather than a single "crash." • For example, there may be a ^ computer-based problem with other r~1''; "~~~ dates, such as Apri19,1999, which is a ~„~ 3 ~ Page 1 of 4 httpJ/www.redcross.org/disaster/safety/y2k.html 2/24/99 ýÿ American Red Cross - Y2K Prepazedness Page 2 of 4 dates, such as Apri19,1999, which is the 99th day of the year, or on 9/9/99.1 " " y~ In the past, a series of nines was used \~~"~~ to indicate termination of a computer • program, and some experts believe that when all nines show np in a date sequence, some computer systems could read it as a program termination command. There also is some concern regarding fiscal year 2000 dates in those organizations with fiscal years that start earlier than December 31, 1999. Also,"the year 2000 is a leap year, and the leap year date 02/29/00 may be a problem for some computer programs as well. What kinds of things could happen as a result of Y2K prob(cros? The President's Council on Y2K Conversion, established by the White House, as well as a special Senate Committee, have focused their attention on defining the scope of the Y2K problem. Hearings have been conducted by the United States Senate Special Committee on the Year 2000 Technology Problem and have focused on the following eight areas: . Utilities and the national power x ~ grid . International banking and ~' finance ~ • .Health care i i .Transportation . Telecommunications ~ . Pension and mutual funds . Emergency planning . General business The potential effect of the Y2K technology problem on any of these areas is nnlonown, and the situation continues to change as federal, state, and local governments; industries; businesses; and organizations, as well as the general public, take actions to reduce the problem. Experts who spoke at the Senate hearings believe that there may be localized disruptions. For example, in some areas, electrical power may be unavailable for some time. Manufacturing and production industries may be disrupted. Roads may be closed or gridlocked if traffic signals are disrupted. Electronic credit card transactions may not be processed. Telephone systems may not work. Because no one can be certain about the effects of the Y2K problem, the American Red Cross has developed the following checklist for you. These are • some easy steps yon can take to prepare for possible disruptions. All of these recommendations make good sense, regardless of the potential http://www.redcross.org/disaster/safety/y2k.html ~ Z/24/99 American Red Cross - Y2K Preparedness problem. WHAT YOU CAN DO TO BE PREPARED • Y2K Checklist Check with manufacturers of any essential computer-controlled electronic equipment in your home to see if that equipment may be affected. This includes fire and security alarm systems, programmable thermostats, appliances, consumer electronics, garage door openers, electronic locks, and any other electronic equipment in which an "embedded chip" may control its operation. Stock disaster supplies to last several days to a week for yourself and those who live with you. This includes having nonperishable foods, stored water, and an ample supply of prescription and nonprescription medications that you regularly use. See Your Family Disaster Suaalies Kit for suggestions. As you would in preparation for a storm of any kind, have some :,.~~. a cash on hand in case • electronic transactions involving ATM cards, credit cards, and the like cannot be processed. Plan to keep cash in a safe place, and withdraw money from yoar bank in small amounts. Similar to preparing for a winter storm, it is suggested that you keep your automobile gas tank above half full. In case the power fails, plan ~ ~ to use alternative cooking devices ~'~' in accordance with ~ manufacturer's instructions. ' ~ ' y Don't use open flames or +~ r„-; ~ charcoal grills indoors. ~ --- Have esl. a blankets, coats, ; Nr ~ ~ hats, and gloves to keep warm. i_~1N:' Please do not plan to use gas- ~ i ("~ fueled appliances, like an oven, ~ -~ i as an alternative heating source. The same goes for wood-burning or liquid-fueled heating devices that are not designed to be used in a residential structure. Camp stoves and heaters should only be used out of doors in a well- ventilated area. If you do purchase an alternative • heating device, make sure it is approved for use indoors and is listed with the Underwriters Laboratories (UL). http://www.redcross.org/disaster/safety/y2k.html Page 3 of 4 2/24/99 ýÿ American Red Cmss - Y2K Preparedness Page 4 of 4 Have plenty of flashlights and ~.~1~ a batteries on hand. Don't use candles for emergency lighting. . Examine your smoke alarms now. If you have smoke alarms that are hard-wired into your home's electrical system (most newer ones are), check to see if they have battery back ups. Every fall, replace all batteries in all smoke alarms as a general Sre safety precaution. Be prepared to relocate to a shelter for warmth and protection during a prolonged power outage or if for any other reason local officials request or require that you leave your home. Listen to a battery-operated radio or television for information about where shelters will be available. If you plan to nse a portable generator, connect what yoq want to power directly to the generator; do not connect the generator to your home's electrical system. Also, be sure to keep a generator in swell-ventilated area either outside or in a garage, keeping the door open. Don't put a generator in your basement or anywhere inside your home. Check with the • emergency services providers in your , community to see if there is more information available about how your community is preparing for any potential problems. Be an advocate and support efforts by your local police, fire, and emergency management officials to ensure that their systems will be able to operate at all times. The American Red Cross helps people prevent, prepare for, and respond to emergencies. We're in your neighborhood every day, providing disaster preparedness information and teaching classes in first aid and other lifesaving skills, to help keep families like yoars safer. For more information, please contact your local American Red Cross. ~~~ ~ ? ~~ N.a. ssa `' w . ~ °"'. ~....., ~, 0 . , ~, . ~ Lwi r~ ~~ ,.. , icd..ro w., ®Coovriaht 1998, The American National Red Cross. All Rights Reserved. Our Privacy Policy • httpJ/www.redcross.org/disaster/safety/y2k.html 2/24/99 ýÿ American Red Cross -Disaster Services -Disaster Supplies Kit Page 1 of 5 IaM t~oM DNasbr Serric~es I • Disasters happen anytime and anywhere. And .~- ~ when disaster strikes, you may not have much time to respond. A highway spill or hazardous material could mean evacuation. A winter storm could confine your family at home. An earthquake, flood, `„~~~~ tornado, or any other disaster could cut water, electricity, and telephones-for days. • After a disaster, local officials and relief workers will be on the scene, but they cannot reach everyone immediately. You could get help in hours, or it may take days. Would your family be prepazed to cope with the emergency until help arrives? Your family will cope best by preparing for disaster before it strikes. One way to prepaze is by assembling a Disaster Supplies Kit. Once disaster hits, you won't have time to shop or seazch for supplies. But if you've gathered supplies in advance, your family can endure an evacuation or home confinement. Prepare Your Kit • .Review the checklist below. • Gather the supplies that aze listed. You may need them if your family is confined at home. . Place the supplies you'd most likely need for an evacuation in an easy-to-carry container. These supplies aze listed with an asterisk (*). . There aze six basics you should stock for your home: water, food, first aid supplies, clothing and bedding, tools and emergency supplies, and special items. Keep the items that you would most likely need during an evacuation in an easy-to carry container--suggested items aze mazked with an asterisk(*). Possible Containers Include- • A lazge, covered trash container, • A camping backpack, . A duffle bag. Water • Store water in plastic containers such as soft drink bottles. Avoid using containers that will • decompose or break, such as milk cartons or glass bottles. A normally active person needs to drink at least two quarts of water each day. Hot http://www.redcross.org/disaster/safety/supplies.html 2/24/99 ýÿ American Red Cross -Disaster Services -Disaster Supplies Kit Page 2 of 5 environments and intense physical activity can double that amount. Children, nursing mothers, ' and ill people will need more. • Store one gallon of water per person per day. • • Keep at least athree-day supply of water per person (two quarts for drinking, two quarts for each person in your household for food ra ~.rsaa ulaOn/SanltatlOII). * Food - " • Store at least athree-day supply of non- perishable food. Select foods that require no refrigeration, preparation or cooking, and little or no water. If you must heat food, pack a can of stereo. Select food items that are compact and lightweight. *Include a selection of thee following foods in your Disaster Supplies Kit: • Ready-to-eat canned meats, fruits, and vegetables First Aid Kit Assemble a first aid kit for your home and one for each car. A first aid kit* should include: • Sterile adhesive bandages in assorted sizes • Assorted sizes of safety pins • • Cleansing agenbsoap • Latex gloves (2 pairs) • Sunscreen • 2-inch sterile gauze pads (4-6) . 4-inch sterile gauze pads (4-~ • Triangular bandages (3) • Non-prescription drugs • 2-inch sterile roller bandages (3 rolls) • 3-inch sterile roller bandages (3 rolls) • Scissors • Tweezers • Needle • Moistened towelettes • Antiseptic • Thermometer • Tongue blades (2) • Tube of petroleum jelly or other lubricant Non-Prescription Drags • Aspirin or nonaspirin pain reliever • Anti-diarrhea medication • Antacid (for stomach upset) • Syrup of Ipecac (use to induce vomiting if advised by the Poison Control Center) • • Laxative . Activated charcoal (use if advised by the Poison http://www.redcross.org/disaster/safety/supplies.html 2/24/99 ýÿ American Red Cross -Disaster Services -Disaster Supplies Kit Page 3 of 5 Control Center) • Tools and Supplies . Mess fats, or paper cups, plates, and plastic utensils* . Emergency r~.:.raredness manual* . Battery-operated radio and extra batteries* . Flashlight and ..1-ua batteries* . Cash or traveler's checks, change* . Non-electric can opener, utility knife* . Fire extinguisher. small canister ABC type . Tube tent . Pliers . Tape . Compass . Matches in a wat;..r.oof container . Aluminum foil . Plastic storage containers . Signal Haze . Paper, pencil . Needles, thread . Medicine dropper . Shut-off wrench, to turn off household gas and water . Whistle . Plastic sheeting • . Map of the azea (for locating shelters) Sanitation . Toilet paper, towelettes* . Soap, liquid detergent* . Feminine supplies* . Personal hygiene items* . Plastic garbage bags, ties (for personal sanitation uses) . Plastic bucket with tight lid . Disinfectant . Household chlorine bleach Clothing and Bedding . *Include at least one complete change of clothing and footweaz per person. . Sturdy shoes or work boots* . Rain geaz* . Blankets or sleeping bags* . Hat and gloves . 'Thermal underwear . Sunglasses • Special Items http://www.redcross.org/disaster/safety/supplies.html 2/24/99 ýÿ American Red Cross -Disaster Services -Disaster Supplies Kit Page 4 of 5 • Remember family members with special requirements, such as infants and elderly or disabled persons • For Baby* • Formula • Diapers . Bottles • Powdered milk • Medications For Adults* • Heart and high blood pressure medication • Insulin • Prescription drugs • Denture needs • Contact lenses and supplies • Extra eye glasses Entertainment • Games and books Important Family Documents • • Keep these records in a wat~.r~.aoiy portable container: . Will, insurance policies, contracts deeds, stocks and bonds . Passports, social security cards, immunization records . Bank account numbers . Credit card account numbers and companies . Inventory of valuable household goods, important telephone numbers • Family records (birth, marriage, death certificates) • Store your kit in a convenient place known to all family members. Keep a smaller version of the Disaster Suvnlies Kit in the trunk of your car. . Keep items in airtight plastic bags. Change your stored water supply every six months so it stays fresh. Replace your stored food every six months. Re-think your kit and family needs at least once a year. Replace batteries, update clothes, etc. • Ask your physician or pharmacist about storing prescription medications. • General Disaster Preparedness Information http://www.redcross.org/disaster/safety/supplies.html ~ 2/24/99 American Red Cross -Disaster Services -Disaster Supplies Kit Page 5 of 5 . "Your Family Disaster Plan" (ARC 4466) . "Your Family Disaster Sunolies Kit" (ARC . 4463) General Disaster Preparedness Materials for Children . "Disaster Preparedness Coloring Book" (ARC 2200, English, or ARC 2200S, Spanish) for children ages 3-10. . "Adventures of the Disaster Dudes" (ARC 5024) video and Presenter's Guide for use by an adult with children in grades 4-6. To get copies of American Red Cross Community Disaster Education materials, contact your local Red Cross chapter. ~~'~ ~' ? e.... s.~ y w" s.. w. ~r.....~ ~ e . , ~ ., i.m rr~. or ~'' , c w.^ ® Convrieht 1998, The American National Red Cross. All Rights Reserved. • • http://www.redcross.org/disaster/safety/supplies.html 2/24/99 ýÿ • Y2KContingency Planning Guideline INTERNET RESOURCES The President's Council on YZK httpJ/www.y2kgov Conversion -information on the Y2K computer problem including the Federal govemment's efforts to prepare, links to information on Y2K compliance for critical sectors of the economy, and other Y2K resources U.S. Government's Gateway to Y2K - http://www.itpolicy.gsa.gov/mks/yQ000ty2khome.htm operated and maintained by General Services Administration. Provides Y2K information, best practices, links to useful sites. • GSA Telecommunications web site: httpJ/www.y2kfts.gsa.gov provides the latest year 2000 compliance information about telecommunication products and services Home page of the House Majority http://www.freedom.govty2k/ Leader provides links to Congressional Committees investigating the Y2K problem US Senate Special Committee on http://www.senate.govty2k/ Year 2000 Technology Problem - download of Senate's report available ' Small Business Administration http://www.sba.govty2k/ (SBA) Year 2000 information National Institute for Occupational http:Uwww.cdc.gov/niosh/y2k/y2k-hmpg.html Safety and Health (NIOSH) interactive intemet site that provides information on the Y2K computer problem and its impact on safety Federal Emergency Management http://www.fema.gov/ • Agency (FEMA)Y2K issues -links information about emergency preparedness National League of Cities, Risk Information Sharing Consortium Tab 7-1. Department of Housing and Urban http://www.hud.gov/aolyear2000 • Development (HUD) Y2K web site Department of the Interior project httpJ/www.doi.gov/oirrNy2k page for personal preparedness and links to pc testing software Environmental Protection Agency httpJ/www.epa.gov/year2000Cndexhtm (EPA) Y2k web site FDIC Year 2000 Project - infomlation http:/iwww.fdic.gov/aboutty2W on financial institutions and the work being done to bring their computer systems into Y2K compliance Federal Highway Adminisl.dl:on Y2K http://www.fhwa.dot.gov/y2Windex.htm web site Federal Reserve Board Y2K web site http://www.federalreserve.gov/y2W - extensive list of Y2K links to information, testimony, press releases, statutes, etc. Much of the site is bilingual (English and Spanish) Health Care Financing http:/lwww.hcfa.goc/y21c • Administration (HCFA) Y2K web site -information on Medicare and Medicaid systems National Institute of Standards and http://www.nistgov/y2kfindexhtm Technology (NIST) Year 2000 Page - information about testing and defining standards for testing Year 2000 features Nuclear Regulatory Commission httpJ/www.nn:.gov/NRCMEWS/year2000.html (NRC) Y2K Planning Social Security Admini.~:.~tion Y2K http://www.ssa.govffacts/y2knotic.html Information National League of Cities (NLC) - http:Hwww.nic.org NLC's Y2K initiatives for local government and links to other resources Public Technology, Inc. (PTl) broad http://www.pti.nw.dc.usty2W Y2K campaign for local officials -many • links to federal and state Y2K web sites. , National League of Cities, Risk Information Sharing Consortium Tab 7-2. • National Association of Counties http~/www.naco.org (NACo) Countdown to the Year 2000 MITRE Corporation -large site that httpJ/www.mitre.org/researchty2k provides comprehensive Y2K information and links Building Owners and Managers httpJlwww.boma.orgtyear1000 Association International (BONA) - information on Y2K problem for property and buildings The American Red Cross - http:iiwww.redcross.org information on personal YZK preparedness Information Technology Association httpJ/www.itaa.org/year2000 of America (ITAA) comprehensive information clearinghouse about Y2K, state and federal legislation, litigation, and vendors Metropolitan Washington Council of httpJ/www.mwcog.org Governments (WMCOG) "Year 2000 Best Practices Manual" National Association of State Information Resource Executives (NASIRE) up-to-date information on where state governments stand on Y2K remediation; Y2K web sites by state; summit on Y2K best practices httpJ/www.nasire.org/Fiotissues/y2kfindex/htmi -~ - ~ - Year 20001nformation Center: clearinghouse of Y2K-related products _ and vendors Institute of Electrical Engineers - http://www.iee.org.uk/2000risk/ comprehensive site dealing with millennium problem in embedded systems The Computer information Centre (Complnfo) -comprehensive technological information site with many Y2K references http:/iwww.compinfo.co. u~ndex.htm • Electronic Data Systems Corporation -reports on Y2K readiness of various companies http://www.vendoi'L000.com National League of Cities, Risk Information Sharing Consortium Tab 7-3. American Insurance Association httpJMrww.aiadaorg • (AIA) many references and resources related to Y2K Information PoKal on the Year 2000 httpJ/www.y2kcom Computer Problem: Legal and management issues Federation of Insurance ~ Corporate httpJ/www.thefederation.org/public/Y2~ndex.htm Counsel -resource for Y2K legal issues and Idigation ' Kirkpatrick A Lockhart LLP: httpJ/www.kl.com/PracticeAreas/y2k/pubs/page2.stm Pogcyholders Guide to Coverage for Year 2000 Losses Legal Issues Concerning the Year httpJ/www.year2000.~....JarchiveMflegalissues.html 2000 Computer Problem: An Awareness Article for the Private Sector by Jeff Jinnett • • National League of Cities. Risk Infom~ation Sharing Consortium Tab 7-4. • 63:~ August 6, 1999 Chuck Reid Town of Fraser P.O. Box 120 Fraser, CO 80442 Re: Mechanical Snowmelt Facility Dear Chuck: W1Il~ PdI'k As you aze awaze, Fraser and Winter Pazk would like to pursue constructing a sn.,W~uelt facility next summer. Winter Park is willing to pay our fair share for both capital and operating costs. It makes sense to shaze a facility and hopefully we can obtain the support of Grand County Water and Sanitation District #1 to locate the facility on the sewer lagoon property. I have asked Chuck Swanson to start obta~~+*~g. information concerning snowmelt facilities. As we discussed on August 5, Winter Pazk would like to continue using the sewer lagoon property for one • more yeaz to store snow. I would like to inspect the proposed site, which is located immediately south of the southern lagoon, with you. This site is not as visible as the site we have traditionally used along the highway. The Town will install silt fencing azound this site. It makes no sense for Winter Pazk to invest this fall in our alternative site at the Public Works shop if we can make a joint facility a reality next summer. Please call me in order that we may further discuss this topic. Thank you for your assistance. Sincerely, -TOV~'N OF ~'~'INTER PARF. - - ~ ~x~~~ Daryl K. Shrum Town Manager DKS/mm • cc: Town Council Chuck Swanson Bruce Hutchins P.O. Box 3327 • Winter Park, Colorado 80482 (970) 726-8081 Denver LinelFax 442-8861