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U.S. Securities and Exchange Commission

Instructions to SEC Filers for
EDGAR Year 2000 Testing


Filers are encouraged, as their systems permit, to use this opportunity to test their systems for Y2K compliance as they interface with the EDGAR system through the Y2K test environment. The test dates to which the EDGAR Y2K test environment will be set are outlined in this document.

This testing allows filers to test their own systems with EDGAR set to dates after January 1, 2000. Filers should, therefore, set their system clocks to ensure that their equipment will function in the millennium. If you forget to match your client PC time to the test date, please be aware that your logs or other documentation will reflect the date and time on your client PC.

When requesting assistance from the SEC, please record and use the accession number of the filing so that you can receive optimal support. All other requirements with regard to filer PCs and modems are similar to those currently outlined in the EDGAR Filer Manual dated June 1999. If you are using equipment other than that used to submit your production filings, please review these requirements before testing.

Note:  If filers change the date on their client systems, they are also responsible for resetting these dates as soon as their testing is completed.

Who Can Test

All filers, filing agents, and training agents registered as electronic filers with the SEC as of July 8, 1999, can participate in the Y2K testing. New filers will not be added to the Y2K test environment after that date. All filers are responsible for reviewing this document carefully before submitting any filings to the Y2K test environment.

Y2K Test Environment

A baseline version of the Production EDGAR system will be created on Thursday, July 8, at 10:00 p.m. for use as the Y2K test environment. When we create this test environment, we will copy all filing data, company information, and access codes from our production system to the Y2K test environment.

Once the Y2K environment has been baselined, the production and Y2K environments will diverge and follow their own paths. All filings submitted after that date in the EDGAR production environment will not be available in the test environment and vice versa. Likewise, changes made after this date to company data and access codes will remain environment-specific. All filers will be responsible for maintaining records of their particular status in both environments. This should not be a burden on filers who do not wish to use the Y2K test environment, since their methods of filing and determining what has been filed should not change. Other filers may choose to keep both environments similar with regard to company data and access codes, but vary the filings submitted into each environment. Expiration dates for all access codes in the Y2K environment will be extended through the duration of the test.

Please note the following:

  • Modules and segments submitted to the EDGAR production environment will not be available for use in the Y2K test environment.

  • If you would like to use a module or segment as part of a filing submitted to the Y2K test environment, it must be submitted to the Y2K environment once Y2K testing commences.

  • Correction scripts for filings submitted to the EDGAR production environment should not be submitted to the Y2K test environment. These modifications will not process correctly in the Y2K test environment. As with modules and segments, if you wish to test correction scripts, please use them only for filings submitted into the Y2K test environment.

  • Any filing that results in the creation of new companies will not be processed.

Test Dates and Times

Filers can submit Y2K test filings from 8:00 a.m. until 10:00 p.m. on weekdays, and on weekends from 9:00 a.m. until 5:30 p.m.

The following test dates will be set in the EDGAR Y2K test environment:

Test Date Day of Week Y2K Host Date
July 12, 1999 Monday February 21, 2000
July 13, 1999 Tuesday February 22, 2000
July 14, 1999 Wednesday February 23, 2000
July 15, 1999 Thursday February 24, 2000
July 16, 1999 Friday February 25, 2000
July 17, 1999 Saturday February 26, 2000
July 18, 1999 Sunday February 27, 2000
July 19, 1999 Monday February 28, 2000
July 20, 1999 Tuesday February 29, 2000
July 21, 1999 Wednesday March 1, 2000
July 22, 1999 Thursday March 2, 2000
July 23, 1999 Friday March 3, 2000
July 24, 1999 Saturday March 4, 2000
July 25, 1999 Sunday March 5, 2000
July 26, 1999 Monday March 6, 2000
July 27, 1999 Tuesday March 7, 2000
July 28, 1999 Wednesday March 8, 2000
July 29, 1999 Thursday March 9, 2000
July 30, 1999 Friday March 10, 2000

SEC staff will be available to help you submit filings into the Y2K test environment from 7:00 a.m. through 7:00 p.m. on weekdays and from 9:00 a.m. through 5:30 p.m. on weekends. The support telephone number is 202-942-8900 (option 4). There will be limited support during this period so please be patient and either wait on-line, or call back. Generally, the afternoon hours from 2:00 p.m. until 5:30 p.m. are the busiest hours when many filers call for EDGAR support.

Important Things You Should Know or Do Before Filing

  • The EDGAR system has been inspected and tested for Y2K compliance. The purpose of this test is for filers to test their equipment for Y2K compliance. Before you file or construct a filing, read all of the information outlined in this document.

  • Filers are encouraged to submit filings on Saturdays and Sundays during this period since the Y2K test environment has limited capacity. The capacity and number of lines in our test system is less than our production system. Because of the immense interest in Y2K testing, filers may get busy signals when trying to connect to the Y2K test environment.

  • Please make sure that you are using the Y2K test environment. Set both primary and backup telephone numbers for this environment. This will ensure that if the primary number is busy, you will still reach the Y2K test environment.

  • Filings will not be disseminated.

  • No FTP, tape, diskette, or CompuServe PDN filings will be accepted.

  • Modules and segments submitted into the Y2K test environment will be available for use in subsequent filings in the Y2K test environment only.

  • Correction scripts can only be applied to filings previously submitted into the Y2K test environment.

  • Company data changes will only affect the test environment, not EDGAR Production or CompuServe.

  • Be careful of dates and timeliness rules when submitting filings into the Y2K environment.

  • Fees will not be deducted for Good Money filings received into the Y2K test environment.

How To Send Filings to the Y2K Test Environment

There will be a separate telephone number for the Y2K test environment: 202-383-5420. If you are using EDGARLink, you should also change the secondary telephone number: 202-347-3629. Most other telecommunications packages use only a primary telephone number. Please do not use the production EDGAR telephone number for filings that you wish to be submitted as part of Y2K testing. Also, please read this entire document before you construct or transmit a filing.

Note:  All filers are responsible for directing their transmissions to the correct EDGAR environment.

When you use a standard telecommunications package to file for Y2K testing, a welcome screen will greet you. To assist you and help prevent errors, we modified the standard welcome screen that you normally see when dialing into EDGAR:

Y 2 K


U.S. Securities and Exchange Commission
EDGAR Electronic Filing System

Eastern time: Monday February 21, 2000 08:00:00

Preparing Filings

Filers should prepare their filings based on the instructions outlined in the EDGAR Filer Manual dated June 1999. You may include HTML and PDF documents in your filings. Please keep in mind the date settings in the Y2K test environment so that you can correctly construct a filing in conformance with SEC rules, particularly those rules of timeliness. The text of the filing is a filer decision; however it is in the filers' and the SEC's best interest to avoid confusing the filings submitted into the production EDGAR environment and the Y2K test environment. Therefore, all filings submitted into the Y2K environment should contain the following text on the first page:

******* SAMPLE FOR Y2K TESTING *******

Filing Transmission

Only filings submitted via modem transmission will be accepted in the Y2K test environment. Filings will not be accepted via tape or diskette. Also, you cannot transmit to the Y2K test environment through Compuserve.

Processing Filings

Using the baseline data in the Y2K test environment, filings will be processed following rules identical to those in the production EDGAR environment. The SEC recommends that filers include a tag in all filings submitted into the Y2K test environment.

Note:  None of the filings submitted into the Y2K test environment will fulfill your filing requirements with the SEC. You must submit any filing required by the SEC into the production EDGAR environment.

There is one difference between the processing rules in the production and the Y2K test environments. Unlike the production EDGAR environment, there will be no fee processing of Good Money filings in the Y2K test environment. In the test environment, we will assume that all filers will have the required fee for the Y2K filings submitted and no fees will be deducted from the filer's accounts or the lockbox at Mellon Bank.

Filings will be processed using the Y2K test system date. Therefore filings subject to timeliness rules or filings containing future dates will be processed as if they were submitted in the year 2000.

Since filings will be processed based on their priorities, some time may be required to process a filing of low priority. Please wait at least three hours after filing transmission before calling the SEC for assistance.

Acceptance/Suspense Messages and Return Copies

The Y2K environment will use CompuServe and Internet services for mail message transmission similar to the EDGAR production environment. Filers will receive acceptance/suspense messages and, if requested, return copies for their Y2K test filings. The rules for requesting and receiving these messages will be the same as those in the production EDGAR system (please refer to the EDGAR Filer Manual dated June 1999 if you have questions).

The CompuServe and Internet networks are single systems that cannot be divided into test and live environments for purposes of this testing. Therefore, all messages created as a result of filings submitted into the Y2K test environment will go to the same mailboxes or Internet addresses as the filings that you submit into the production EDGAR system. Please review your messages carefully and clean out your mailboxes appropriately. Company data changes submitted via the Y2K test environment will not be transmitted to the CompuServe EDGAR Company Database. Company data on the CompuServe EDGAR Company Database will remain as submitted in production.

Note:   Filing Agents should work with companies normally using their services to obtain permission before using their CIKs in Y2K test filings. Anyone using another company's CIK as a co-registrant in a filing should also obtain permission.

If you submit filings using other companies' CIKs, those companies will be notified of the acceptance or suspension of the filing as they would normally. To make it easier for both filers and filing agents to differentiate messages, there will be a statement in the acceptance/suspense message or return copy for filings submitted into the Y2K environment:

*********** NOT AN OFFICIAL FILING ************

SEC Internet Site & Filing Dissemination

You cannot view filings submitted into the Y2K test environment on the SEC Web Site. If you desire a copy of the filing as submitted, please include the tag in your filing (rules regarding tags are outlined in the EDGAR Filer Manual dated June 1999). Return copies are sent only to valid CompuServe E-Mail addresses.

Filings submitted for this testing will not be disseminated. Therefore, filings will not be viewable on alternate EDGAR Web Sites, nor will they be included in EDGAR databases supplied through third-party vendors. Also, these filings will not be available for viewing through the SEC's Public Reference Rooms.

Filing Retention

All filings submitted into the Y2K test environment will be discarded after the test period. The Office of Filer Support will respond to questions on filings submitted during the testing for three business days after the test.

End of Y2K Testing

When the test cycle is completed on July 30, 1999, at 10:00 p.m., please be sure to change your systems to the correct dates and configurations. In particular, the telephone numbers within EDGARLink should be changed back to the production numbers. Filings will not be accepted into the Y2K test environment after that date.