California Public Utilities Commission
Year 2000 Program Assessment Checklist & Survey for Electric Service Providers

Company Name:	_________________________________________________________
Address:		_________________________________________________________
ESP Number (if applicable): ___________________________________________________
Name of person with primary responsibility for addressing the Year 2000 problem in your company:		_________________________________________________________
Title:			_________________________________________________________
Address:		_________________________________________________________
Telephone No.:	_________________________________________________________
Fax No.:		_________________________________________________________
E-mail address:	_________________________________________________________

PLEASE DIRECT YOUR RESPONSES TO THE ENERGY DIVISION AT THE CPUC, ATTENTION Y2K COORDINATOR

Preliminary Questions

  If the company’s ONLY computerized systems are related to billing or other administrative tasks, please check this box , STOP HERE and return this page. 

  If the company has computerized service delivery systems under its control, please complete the remainder of this survey.  For the purposes of this question, include embedded systems necessary to delivery of the electrical services you provide.  If you do not know whether you have embedded systems necessary to delivery of the electrical services you provide, please complete the remainder of this survey.

I certify that the responses provided to this survey are true and correct, and that I have the authority to represent the company on these issues.

By:		_________________________________________________________
Title:		_________________________________________________________
Company:	_________________________________________________________

For each question below which requires a “yes” or “no” answer, please check the corresponding box if you answer is “yes”.  For questions which require an additional response, please provide your responses on separate sheets of paper.

Awareness

  Has the company defined and documented the potential impact of the Year 2000 problem?  Please provide a summary of these efforts to the CPUC.

  Has the company conducted a Year 2000 awareness campaign with respect to:

  Employees?
  Customers?
  Vendors?

Please summarize your efforts and provide the CPUC with copies of sample documentation relating to any such awareness campaign which could be helpful to an evaluation of your effort.

  Has the company assessed the adequacy of its program management policies, capabilities, and practices, including configuration management, program and project management, and quality assurance?

  Has the company developed and documented a Year 2000 strategy?  Please summarize your strategy.

  Is the Year 2000 strategy supported by executive management?

  Has the company established an executive management council or committee to guide the Year 2000 program?

  Has a program manager been appointed and a Year 2000 program office been established and staffed?  Who is the manager and what is his/her title and level in the company?  How many employees and contractors are dedicated to this effort?

  When did you begin your effort to become Year 2000 compliant and what is your estimated completion date for your compliance plan?

  Summarize the resources you anticipate will be necessary for your company to remedy your Year 2000 issues.

  Has the company identified technical and management points of contacts in core business areas?

  Does your particular industry have an organization that is providing Year 2000 guidance and information?  If so, please identify the organization.

Assessment

  Has the company defined Year 2000 compliance?  Please provide your definition. Describe what tests or standards your company uses to determine “Year 2000 compliant” status.

  Has the company defined Year 2000 readiness?  Please provide your definition.  Describe what tests or standards your company uses to determine “Year 2000 ready” status.

  Do you (or does your parent company) have a Year 2000 Compliance statement?  If so, please attach.  If not, do you plan to have one in the future?  When?

  What is the date at which you expect to be fully Year 2000 ready? 

  What is the date at which you expect to be fully Year 2000 compliant?

  Has the company identified core business areas and processes?

  Has the company assessed the severity of potential impact of Year 2000-induced failures for core business areas and processes?   Please describe such potential impacts and the respective severity of each.

  Has the company conducted a comprehensive enterprise-wide inventory of its information systems?

The company has

  system inventory listing components and interfaces for each system 
  comprehensive plan to identify and eliminate obsolete code

  Has the company developed a comprehensive list of automated systems?

The company’s list identifies

  links to core business areas or processes
  platforms, languages, and database management systems
  operating system software and utilities
  telecommunications
  internal and external interfaces
  owners
  the availability and adequacy of source code and associated documentation

  Has the company analyzed its automated systems and identified for each system?

  non-repairable items (lack of source code or documentation)
  conversion or replacement resources required for each platform, application, database   management system, archives utility, or interface

  Has the company prioritized its system conversion and replacement program?

The company’s prioritization process includes

  service delivery systems prioritized ahead of billing and administrative systems
  ranking by business impact
  ranking by anticipated failure date
  identification of applications, databases, archives, and interfaces that cannot be
       converted because of resource and time constraints

  Has the company established Year 2000 project teams for business areas and major systems?

  Has the company developed a Year 2000 program plan?  If so, please provide the CPUC with a copy of the plan

The company's program plan includes

  schedules for all tasks and phases
  master conversion and replacement schedule
  assessment and selection of outsourcing options
  assignment of conversion or replacement projects to project teams
  risk assessment
  contingency plans for all systems

  Has the company identified and mobilized required resources and capabilities?  Please describe.

  Has the company developed validation strategies and testing plans for all converted or
       replaced systems and their components?

  Has the company analyzed and identified requirements for a Year 2000 test facility?

  Has the company identified and acquired Year 2000 tools?

  Has the company considered implementation scheduling issues?

The company’s program plan addresses

  where conversion will take place (data center or off-site location)
  time needed to place converted systems into production
  conversion of backup or archived data

  In priority order identify the top twenty hardware and the top twenty software systems for whose operation your company is responsible that directly and immediately support the electrical services you offer.

  For each of the systems identified in response to the prior question, provide your company’s assessment of its Year 2000 compliance, identify components of the systems that are internally produced and those that are not internally produced.

  For each of the systems identified in response to the prior question that are not assessed as Year 200 compliant, set forth your schedule for (a) initiating remediation or replacement; (b) unit testing of compliance; (c) internal system integration testing for compliance; and (d) where appropriate, testing with interconnecting entities.  Explain the transactions that will be used in conducting those tests.  Identify any systems which you intend to make Year 2000 ready but do not intend to make Year 2000 compliant, and explain why.  Of these systems, identify the systems which are currently Year 2000 ready, and set forth your schedule for making the remaining systems Year 2000 ready.

  For each of the systems identified in response to the prior question that are not assessed as Year 2000 compliant or Year 2000 ready, set forth your schedule for (a) developing contingency plans in case remediation plans are delayed or fail, including failure just before or after the change in date to the Year 2000, and including the leap year date of February 29, 2000; and (b) testing of those contingency plans.

  Has the company addressed interface and data exchange issues?

The company has

  analyzed dependencies on data provided by other organizations
  contacted all entities with whom it exchanges data
  identified the need for data bridges or filters
  made contingency plans if no data are received from external sources
  made plans to determine that incoming data are valid
  developed contingency plans to handle invalid data

  In assessing potential Year 2000 problems, which of the following best describes the anticipated impact for your operations?  (check one) Please add additional information where appropriate:

  We will identify and correct all Year 2000 problems before Jan. 1, 2000.

  We will be 100% compliant and/or ready sometime after Jan. 1, 2000 with no significant disruptions to service or billing.

  We will be 100% compliant and/or ready sometime after Jan. 1, 2000 with some     significant disruptions to service or billing.

  We will be 100% compliant and/or ready sometime after Jan.1, 2000 but our assessment is not accurate enough to identify all problems that may significantly affect service or billing.

  We are not following a compliance plan that calls for prior assessment of potential Year 2000 problems.

  What is your plan for monitoring for potential problems after January 1, 2000?

  Has the company initiated the development of contingency plans for critical systems?   Please provide a copy of your contingency plan.

  Does the impact assessment document identify Year 2000 vulnerable systems and processes outside the traditional information resource management area that may affect the company’s operations?  Please provide the CPUC with documentation of such identified impacts.

The assessment document addresses the impact of potential Year 2000 induced failure of

  telecommunication systems, including telephone and data networks switching
       equipment

  building infrastructure

Renovation

  Is the company meeting its budget and schedule in the conversion of targeted 
applications, platforms, databases, archives, or interfaces?

  Is the company meeting its budget and schedule in developing bridges and filters to 
handle non-conforming data?

  Is the company meeting its budget and schedule in the replacement of targeted applications and system components?

  Is the company documenting all code and system modifications and using configuration management to control changes?

  Is the company scheduling unit, integration, and system tests?

  Is the company meeting its budget and schedule in eliminating targeted applications and system components?

  Is the company communicating the changes to its information systems to all internal and external users?

  Is the company tracking the conversion and replacement process and collecting and using project metrics to manage the conversion and replacement process'?

  Is the company sharing information among Year 2000 projects?  

The company is disseminating

  "lessons learned"
  best practices

  What actions remain to be taken for your computer hardware to be fully Year 2000 compliant?

  What actions remain to be taken in order for your infrastructure to be fully Year 2000 compliant?

  What actions have you taken to identify and test embedded chips within your infrastructure?

  What specific embedded chip Year 2000 problems have you found and in what way could they affect the services you provide?

Validation

  Has the company developed and documented test and validation plans for each converted or replaced application or system component?

  Has the company developed and documented a strategy for testing contractor‑converted or replaced applications or system components?

  Has the company implemented a Year 2000 test facility?

  Has the company implemented automated test tools and scripts?

  Has the company performed unit, integration, and system tests on each converted or replaced component?

The company's testing procedures include the following types of tests

  regression
  performance
  stress
  forward and backward time

  Is the company tracking the testing and validation process and collecting and using test
metrics to manage the testing activities?

  Has the company initiated acceptance tests?

Implementation

  Has the company defined its transition environment and procedures?

  Has the company developed and documented a schedule for the implementation of all 
converted or replaced applications and system components?

  Has the company resolved data exchange issues and intercompany concerns?  Has the company dealt with database and archive conversion?

  Has the company completed acceptance testing?

  Has the company implemented contingency plans?

  Has the company updated or developed disaster recovery plans?

  Has the company reintegrated the converted and replaced systems and related databases into the production environment?

Program and Project Management

  Has the company established a Year 2000 program management structure?

The company has

  appointed a Year 2000 program manager and established a Year 2000
       program team

  identified technical and management representatives from each core business
       area

  Based on the assessment of its program management capabilities, has the company 
developed and implemented policies, guidelines, and procedures to manage a major program?

The company's policies, guidelines, and procedures include

  configuration management
  quality assurance
  risk management
  project scheduling and tracking
  metrics
  budgeting

  Is the company monitoring the Year 2000 program to ensure that projects are following
required policies and procedures for configuration management, project scheduling and tracking, and metrics? 

  Have you addressed Year 2000 compliance and/or readiness with external suppliers, contractors, and other business partners or vendors? 

  Have you determined if your suppliers and vendors are Year 2000 compliant and/or Year 2000 ready?  If no, why not?  If yes and your suppliers and vendors are not Year 2000 compliant, what negative impact can this have on your provision of electrical service?

  What facilities and equipment have vendors been certified as Year 2000 compliant?

  What facilities and equipment have vendors been certified as Year 2000 ready?

(END OF APPENDIX A)