Y2K Contingency Planning

Although the University has made significant Year 2000 efforts in its remediation process, it recognizes the need to plan for the unexpected. Where there are existing business continuity plans in place, they will be augmented or updated to reflect Year 2000 specific scenarios, as needed. Where plans are not yet in place, the University will focus on mission-critical systems to define preventative- and crisis-action plans.

--University of Illinois Year 2000 Plan

 

This article is excerpted -- and very slightly modified -- from the University of Illinois Year 2000 team's "Unit Toolkit on Year 2000 Contingency Planning." The entire document is available on the U of I Year 2000 team internal -- for the University -- Web site: http://y2kuiteam.uillinois.edu/ This article is only a small part of the Toolkit, mostly its description of a Year 2000 contingency plan and its arguments for developing one. The Toolkit also includes templates, step-by-step instructions, and a glossary, too, just in case. There are also links to other contingency planning Web sites and to sample contingency plans. Our thanks to the U of I Y2K team for allowing us to reprint these portions of the Toolkit. Your Unit's Y2K Contingency Plan is Part of the UIC Contingency Plan After your department or unit finishes its plan, please send it to Sharon Hogan, the UIC Y2K coordinator as described in What's Next below.

1. The process of identifying the mission-critical functions that must be restored during an operational disruption, disaster, or malfunction brought on by Year 2000 issues.
   
   
2. The definition of the steps to accomplish the restoration and/or continue to accomplish the critical functions with diminished or nonexistent resources due to Year 2000 issues.

Contingency plans address various "what if" scenarios and set a framework for initiating preventative measures, as well as reactions and decision making, should certain events occur.

Here are some examples of the kinds of questions asked during contingency planning:

• What if power is available to your unit but other critical campus services (e.g., phones, campus backbone) fail or become intermittent? What parts of your unit will continue to operate and for how long?
  
  
• What if campus services are functioning normally but your unit's local systems fail? Do you have a manual alternative process ready? Has your staff practiced backup procedures so you know they work?
  
  
• Who, inside or outside the University, depends on your unit? In the event of campus or unit system disruption, who will notify them and at what point?
  
  
• Other than critical campuswide services, what other University unit(s) does your unit depend on for service? Can you schedule the service in 1999? Have you discussed the ramifications if the service-provider is not Y2K ready?
  
  
• If a key supplier is not available for an extended period at some point in early 2000, what are your alternatives?
  
  
• What are your plans if your unit's remediations are not completed on time or if remediation is completed but fails?
• Do you have any events planned, particularly in January and February? What are the Year 2000 risks for the event(s) and how would you respond to them?
  
  
• If you are installing a new or replacement system that is reported to be Year 2000 compliant, what if the installation is not successful, or it's not really Year 2000 compliant?
  
  
• In general, what can you plan now so that your unit can function normally throughout Year 2000? (Please note: Unit Contingency Plans should not only focus on the first few days in January. Year 2000 problems can occur at the Leap Year date or other points during the coming year.)

The UIC Year 2000 Project's Unit Toolkit on Year 2000 Contingency Planning (http://y2kuiteam.uillinois.edu/html/unit_cp_toolkit_options.html) is designed to help UIC campus units develop their Year 2000 contingency plans.

Nonetheless, there are good reasons for believing that some Year 2000 failures are likely:

• Some Year 2000 problems will be overlooked, ignored, or will not be remediated on time.
  
  
• There may not be enough time or money to fix everything.
  
  
• Some solutions may not be available or work in time because they were overlooked, too complex, too costly, or implemented incorrectly.
  
  
• It is impossible to ensure that other groups, both internal and external, will have working systems.
  
  
• Even systems that have been remediated and tested may encounter problems.
  
  
• Traditional contingency or backup plans put in place for computing problems or natural disasters may fail if widespread and simultaneous Y2K-related failures occur.

In the best case, these will be minor disruptions and normal operations can be maintained through quick fixes, work-arounds, shifting of resources, and use of alternative means of providing services.

In the worst case, organizations may face shutdown of some or all services or operations. Even the best preparation cannot eliminate all risks, particularly for Year 2000, where there are still many unknowns.

Contingency Planning indicates how we will respond if some critical equipment or processes fail, despite our best efforts or expectations. These failures could be internal to a unit or caused by external factors.

As the Year 2000 draws near, organizations will also make explicit decisions about what remaining work will or will not be completed in time. Where it is clear that remediation will not be completed, for whatever reason, contingency planning must be in place to handle the consequences.

Contingency Planning establishes our coverage of known Year 2000 issues where remediation/validation has not been completed.

In the time remaining, all parts of the University must continue to work to ensure that critical systems and services remain operable after January 1, 2000. Contingency planning is a critical part of that process -- providing backup plans in the event risks are realized and recovery plans to make a smooth transition back to normal operations at the earliest possible time.

Contingency plans must be defined and documented in advance:

1. Once an emergency occurs, it is often too late to develop a contingency plan.
   
   
2. There must be time to compare contingency plans across the organization, to detect interactions, before they occur in an emergency situation.
   
   
3. Those who are "on the scene" of a disruption, on January 1 or later, need information to be able to make the appropriate decisions in what might be a triage situation.
   
   
4. Written plans demonstrate due diligence in preparing for possible Year 2000 disruptions.

Contingency plans are not new -- many organizations already have business continuity or disaster recovery plans for natural disasters, campus accidents, computer system failures, and power or telecommunications outages. Existing plans rarely provide a complete Year 2000 plan but they can provide an excellent starting point. In addition, a well-thought-out Year 2000 contingency plan can serve as a general plan for years to come.

Goals

The University of Illinois' goals for contingency planning are to:

• minimize the risk to the health and safety of students, faculty, staff, and visitors
  
  
• protect fiscal and physical assets
  
  
• enable normal operations, or some variation of normal processes, to continue in the event of a variety of failures
  
  
• provide a safe and orderly decision-making process to respond to events

Contingency planning extends beyond January 1, 2000, since Year 2000-related events may occur at any time throughout the year, particularly around key dates such as the leap year date. Plans should provide an appropriate response, no matter when disruption occurs.

Campus Responsibilities

• Survey existing disaster/business continuity plans for campuswide services such as utilities, HVAC, water, health care, public safety, building security, food services, telecommunications, campus networking backbone, student and staff services, animal care, financial services, etc.
  
  
• Find out what information units need on campuswide preparation for Year 2000.
  
  
• Work with infrastructure units to prepare a Campus Year 2000 Contingency Plan.
  
  
• Provide units with information on campus services for use in their own contingency planning
  
  
• Review unit contingency plans and coordinate between/among them and campus plans.
  
  
• Implement the Campus Plan as needed.

Unit Responsibilities

• Provide information on unit needs to the campus as requested.
  
  
• Consider possible Year 2000 risks, inside and outside the unit, and their impact on the unit.
  
  
• Create a Unit Year 2000 Contingency Plan to a) minimize/prevent risks, b) enable normal processes to continue if conditions allow, c) provide appropriate shutdown/rerouting where needed, and d) return to normal conditions in a timely fashion.
  
  
• Provide the plan to the campus for review and coordination across the campus.

University Responsibilities

• Address contingency planning issues across campuses.
  
  
• Outline guidelines and requirements for consistency across campuses.
  
  
• Summarize status of campus and unit contingency planning.

Do such units really need a Year 200 contingency plan? The answer is yes. They still need to plan how to continue to operate their unit should critical external systems fail and, should they not be able to operate, how to make that decision and how to return once services are restored.

In fact, most of us are heavily dependent on external groups, a sign of the interdependence of modern technology. A significant part of contingency planning is deciding what to do when things happen outside of your control.

After your department or unit finishes its plan, please send it to Sharon Hogan, the UIC Y2K coordinator:

UIC units are asked to send copies of their contingency plans to Sharon Hogan, University Library, 1-280 LIB, MC 234, by November 15, 1999. Sharon can answer questions about the campus contingency planning process. For general questions on contingency planning, the University Y2K team is available by email at: y2kreporting@uillinois.edu.