CONFIDENTIAL HONG KONG MONETARY AUTHORITY QUESTIONNAIRE ON YEAR 2000

PRIVATE AND CONFIDENTIAL THINK AHEAD APPLICATION FORM
(CONFIDENTIAL) FORM ‘A’ (REF SRO199 OF 19TH JUNE 1998)
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1. Please list out the systems (mainframe, PC etc.) currently in use in your institution in the table below:

CONFIDENTIAL

HONG KONG MONETARY AUTHORITY

QUESTIONNAIRE ON YEAR 2000 PROBLEM

Name of Authorized Institution:

I confirm that the information given in this questionnaire is, to the best of my knowledge and belief, correct.

Signature of Chief Executive :

Name of Chief Executive :

Date :

Please return the completed questionnaire to Mr. Ros Lam, Head of Banking Policy (Special Duties) Division of the Hong Kong Monetary Authority on or before 31 May 1997.

Questionnaire on Year 2000 (Y2K) Problem

1. Are you already fully Y2K compliant? If yes, you should nevertheless answer the following questions and use them as a checklist for assessing whether full compliance has actually been achieved in all areas.

2. Do you have a plan to address the Y2K problem so that your business and daily operations will not be adversely affected? If yes, please supply the following information: -

	Brief description of the system	When (if not already) will the system be Y2K compliant^d
Critical^{^a} Systems


Non-critical^{^b} Systems


Others^{^c}

3. What is your approach (eg. by replacement, amendment, re-programming etc.) to address the Y2K problem? How is the approach determined?

4. What are your estimated overall costs to address the Y2K problem? Is there a budget assigned for the year 2000 project for 1997, 1998 and 1999?

5. Is your IT Department’s capacity and experience sufficient to accomplish Y2K compliance on time and within budget? If not, will you be able to get the necessary, qualified human and hardware/software resources to develop and test the solution? Please give details.

6. Do you have an effective mechanism (e.g. a Y2K Steering Committee) to oversee the project including development of implementation plan and monitoring progress? Please give details.

7. When will the conversion and testing for Y2K compliance be started and completed?

8. How will you try to ensure that all your counterparties are Y2K compliant before year 2000?

Contingency Plan

9. What are your contingency plans to tackle problems arising from non-compliance, both internally (from own systems)and externally (from counterparties)?

10. What are the legal or other risks to your institution as a company, and your directors and officers as individuals, if a loss occurs either to your company or to your counterparties as a result of non-compliance? What steps have been taken to minimise them?

b^a System is critical if it causes substantial loss (either in money terms or time) or serious disruption of business when it is in fault.

^b System is non-critical if it causes minimal loss (either in money terms or time) or minor disruption of business when it is in fault.

^c Other system refers to supporting system such as administrative and communication system.

^d Y2K compliant refers to a system which no longer has a Y2K problem.

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