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Due

Diligence
Survey
Form
(For Web Applications)

2001-01-05

©2000. All rights reserved.


Assessment
Questionnaire

1. APPLICATION
OVERVIEW
Responses provided by: _____________________________________________________

Responses recorded by: _____________________________________________________

Date: ____________________________________________________________________

Application Name: _________________________________________________________

Primary Contact/Owner: ____________________________________________________

Subject Matter Expert: ______________________________________________________

How many people use this application? (projected)_______________________________

For B2B and internal users, please provide the following:


Location Number of users No. of Concurrent
Users

Application description/functions/criticality (one paragraph write-up). Also mention if this


is a web-based application:
_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

What hardware does this application run on? ____________________________________

How is the communication between clients and server/s set up?


ο Internet / public network
ο Remote dial-in
ο WAN / LAN
ο Other (Describe _____________________________________)

Outline details of the Architecture deployed for the Web Application


Assessment
Questionnaire

What is the software environment (please include version #)?


- Database Server
ο Programming language________________________________
ο Database (e.g., Oracle) ________________________________
ο Operating System_____________________________________
ο Transaction Processing_________________________________
ο Case tool, if used_____________________________________
- Application Server
ο Programming language________________________________
ο Operating System_____________________________________
ο Case tool, if used_____________________________________
- Client
ο Programming language________________________________
ο Operating System_____________________________________
ο Case tool, if used_____________________________________
- Web Server
ο Connectivity software between the application and the internet

- Testing Tools
ο Function Tests
ο Load Tests
ο System Test
ο Integration Tests
ο Performance Tests
ο Etc

Please indicate the features used by the application


ο Personalization
ο Chat
ο Shopping Carts
ο Message Boards
ο Audio Streams
ο Video Streams
ο FAQs, Search Facility, etc.
ο Membership, online survey, etc.

What is the origin of the application?


ο Developed in-house
ο Packaged software
ο Customized package software

How old is the application? ________________________________________________

Are there any new enhancement initiatives planned for this application?
ο Yes #:________ effort:_______person months
ο No

How many people support this application? If there is no support at present then, how many people do
you think would be required to support this application?
Assessment
Questionnaire

ο Project Manager__________________
ο Web designers (Creative Artists??)
ο Web Architects
ο DBAs
ο Analysts_________________________
ο Programmers_____________________

Is there a separate team present for support of the hardware and system software (WAN, LAN, Windows
NT, Unix etc.)?
ο Yes
ο No

What has the historical staffing level been?

STAFF CURRENT YEAR YEAR -1 YEAR - 2 YEAR - 3 PRIOR


(AVG)
Project Manager
Web designers
Web Architects
DBAs
Analysts
Programmers

What type of documentation is available?

DOCUMENTATION TYPE COMPLETE AND AVAILABLE BUT NOT AVAILABLE


UP-TO-DATE OUT-OF-DATE
Requirements Specifications
Web Architecture
Web Design Standards
Design (CRUD, Data dictionary)
System Specification
Program Specifications
Test Specifications
Interface Specifications
User manuals
Operations Manuals
Job logs
Others: ___________________________

Do you use a source code management system (SCM)?


ο Yes, name of the SCM_____________
ο No

Is the Application Euro compliant?


ο Not Compliant
ο Compliant

Is the Application Year 2000 compliant?


ο Not Compliant
ο Compliant
Assessment
Questionnaire

If the application is Year 2000 compliant, how was its compliance assured?
ο Included as part of the design and development
ο Audited by an external agency
ο Audited by independent group within the organization
ο Tested and approved by users
ο System-tested by the compliance team
ο Unit tested by compliance team

How do you rate the application stability?


ο High
ο Medium
ο Low

How do you rate the application volatility?


ο High
ο Medium
ο Low

What is the retirement plan?


ο Will be re-hosted in _______________
ο Will be re-engineered in ____________
ο Will be discarded in _______________
ο Will be replaced in ________________
ο No retirement plans
Assessment
Questionnaire

2. APPLICATION
DETAILS
Server Functions
If significant functionality is provided by underlying server-based applications (including mainframe,
web-server, or other intermediate-node), please provide details of these functions on the following pages.

Responses provided by: _____________________________________________________

Responses recorded by: _____________________________________________________

Date: ____________________________________________________________________

What was the approximate development effort in Person Months? ___________________

How many function points does the application consist of? _____________________

How many use cases does the application consist of? ________________________

Please provide the following application specific details:


MAINFRAME COMPONENT

NUMBER OF:
STORED PROCEDURES
SCREENS
REPORTS
ON-LINE PROGRAMS
BATCH PROGRAMS
SHELL SCRIPTS / BATCH FILES
SCHEDULES

LINES OF CODE (SPECIFY


LANGUAGE(S) IN COLUMN HEADER)

ON-LINE PROGRAMS
BATCH PROGRAMS
INCLUDE FILES
STORED PROCEDURES
TOTAL LINES OF CODE

DBMS
# OF TABLES/ENTITIES
Assessment
Questionnaire

# OF ROWS
# OF COLUMNS/ATTRIBUTES
SIZE IN GB

DO THE APPLICATION/AREA COMPONENTS USE ANY NAMING Yes No

CONVENTIONS/STANDARDS?

ARE THE APPLICATION/AREA COMPONENTS EASILY IDENTIFIED BY Yes No

DOCUMENTED NAMING CONVENTIONS?

ARE ANY SYSTEMS UTILITIES BEING USED THAT ARE SPECIFIC TO THIS Yes No

APPLICATION/AREA?

How were the lines of code counted?


ο Including comment lines and blank lines
ο Including comment lines but net of blank lines
ο Net of comment lines and blank lines

How were program and line counts taken?


ο Estimated
ο Manually counted
ο Counted by a software tool

What is frequency of the programs terminating abnormally?


ο #/month_________________________
ο #/quarter________________________
ο #/six months_____________________
ο #/year___________________________

During the last one-year, how many abnormal program terminations, took how long to fix?

Hours # of Abnormal
Program
Termination
<2
2 to 8
>8

What is the major cause of abnormal program terminations?


ο Space problem
ο Application program problem
ο Interfacing system’s problem

Do the people supporting this application carry pagers?


ο Yes
ο No

If yes, how many times/week (on an average) were they paged?


ο <1
ο 2 to 5
Assessment
Questionnaire

ο >5

Are the support staffs on call 7x24?


ο Yes
ο No

How frequently has this application been modified?


ο #/month_________________________
ο #/quarter________________________
ο #/six months_____________________
ο #/year___________________________

Enhancement/bug-fix backlog details:


ο # in progress_____________________
ο # not started______________________
ο estimated effort___________________
ο completion dates__________________

Third-party Software Components.


In the space below, please provide details of and 3rd party software that is integral to the functionality
provided by this application(s). This could include: packaged software (including ERP, or other), and/or
customized software that is either licensed or substantially maintained (via releases, etc.) by a third party.
Assessment
Questionnaire

Data storage

What type of database does this application have?


ο Object Oriented _________________
ο Relational _______________________
ο Hierarchical _____________________
ο Network ________________________
ο Flat files ________________________

What is the size of the database?


ο # of entities ______________________
ο # of attributes____________________
ο # of records______________________
ο # of files ________________________
ο # of flat file indexes _______________
ο Disk space occupied_______________

Does the application share data stores with other systems?


ο Yes
ο No

If yes, how many —


ο Shared flat files? __________________
ο Shared indexed files? ______________
ο Shared databases? ________________

What is the database re-organization frequency?


ο daily
ο weekly
ο monthly

What are the major functions that are performed by the DBA?
ο Access control
ο Tuning
ο Back-ups
ο Recovery
ο Re-build database
ο _______________________

How many people perform the above mentioned DBA tasks? __________

If none, then would the outsourcer need to provide the services of a DBA?
ο Yes
ο No
Assessment
Questionnaire

Web Functions
Please provide details of web-based functions on the following pages.

Responses provided by: _____________________________________________________

Responses recorded by: _____________________________________________________

Date: ____________________________________________________________________

What was the approximate development effort in Person Months? ___________________

How many function points does the application consist of? _____________________

How many use cases does the application consist of? ________________________

Please provide the following application specific details:


WEB COMPONENT

NUMBER OF:
WEB PAGES
GUIS/STYLE-SHEETS
REPORTS
UNIQUE PROGRAMS

LINES OF CODE (SPECIFY


LANGUAGE(S) IN COLUMN HEADER)

TOTAL LINES OF CODE

DBMS
# OF TABLES/ENTITIES
# OF ROWS
# OF COLUMNS/ATTRIBUTES
SIZE IN GB

DO THE APPLICATION/AREA COMPONENTS USE ANY NAMING Yes No

CONVENTIONS/STANDARDS?

ARE THE APPLICATION/AREA COMPONENTS EASILY IDENTIFIED BY Yes No

DOCUMENTED NAMING CONVENTIONS?

ARE ANY SYSTEMS UTILITIES BEING USED THAT ARE SPECIFIC TO THIS Yes No

APPLICATION/AREA?

How were the lines of code counted?


Assessment
Questionnaire

ο Including comment lines and blank lines


ο Including comment lines but net of blank lines
ο Net of comment lines and blank lines

How were program and line counts taken?


ο Estimated
ο Manually counted
ο Counted by a software tool

What is frequency of the programs terminating abnormally?


ο #/month_________________________
ο #/quarter________________________
ο #/six months_____________________
ο #/year___________________________

During the last one-year, how many abnormal program terminations, took how long to fix?

Hours # of Abnormal
Program
Termination
<2
2 to 8
>8

What is the major cause of abnormal program terminations?


ο Space problem
ο Application program problem
ο Interfacing system’s problem

Do the people supporting this application carry pagers?


ο Yes
ο No

If yes, how many times/week (on an average) were they paged?


ο <1
ο 2 to 5
ο >5

Are the support staffs on call 7x24?


ο Yes
ο No

How frequently has this application been modified?


ο #/month_________________________
ο #/quarter________________________
ο #/six months_____________________
ο #/year___________________________

Enhancement/bug-fix backlog details:


ο # in progress_____________________
Assessment
Questionnaire

ο # not started______________________
ο estimated effort___________________
ο completion dates__________________

Third-party Software Components.


In the space below, please provide details of and 3rd party software that is integral to the functionality
provided by this application(s). This could include: packaged software (including ERP, or other), and/or
customized software that is either licensed or substantially maintained (via releases, etc.) by a third party.
Assessment
Questionnaire

Data storage

What type of database does this application have?


ο Object Oriented _________________
ο Relational _______________________
ο Hierarchical _____________________
ο Network ________________________
ο Flat files ________________________

What is the size of the database?


ο # of entities ______________________
ο # of attributes____________________
ο # of records______________________
ο # of files ________________________
ο # of flat file indexes _______________
ο Disk space occupied_______________

Does the application share data stores with other systems?


ο Yes
ο No

If yes, how many —


ο Shared flat files? __________________
ο Shared indexed files? ______________
ο Shared databases? ________________

What is the database re-organization frequency?


ο daily
ο weekly
ο monthly

What are the major functions that are performed by the DBA?
ο Access control
ο Tuning
ο Back-ups
ο Recovery
ο Re-build database
ο _______________________

How many people perform the above mentioned DBA tasks? __________

If none, then would the outsourcer need to provide the services of a DBA?
ο Yes
ο No
Assessment
Questionnaire

TESTING

Are automated tools available for testing?


ο Yes, name__________________________
Type of license (site license, per seat …) and number of licenses available_________
ο No

Are Systems/UAT test plans, scripts and test data, or automated regression test scripts available for the
application?
Separate Test Environment Yes No
Test Plans Yes No
Test Scripts Yes No
Test Data Yes No
Automated Regression Testing Yes No

Is there a separate environment available for testing?


ο User acceptance testing
ο System testing
ο Unit testing
ο No formal testing environment/s

How much disk space does the current test environment require (in terms of GB)?
__________________________________________________________________

Is there a formal change control procedure in place for this application?


ο Yes
ο No

Please provide a high level description of current QA flow from development to test to production.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
Assessment
Questionnaire

INTERFACES

Does this application interface with other applications?


ο Number of internal interface_______________
ο Number of external interface ______________

What is the mode of external interface?


ο EDI
ο Internet
ο Dedicated link/Dial-up FTP
ο Magnetic medium

Does the interface program transmit and/or receive files?


ο Yes, # of files____________________
ο No
ο Protocol for Transfer -____________________

What is the frequency of transfer?


ο Hourly
ο Daily
ο Weekly
ο Monthly

Is there any customized code that was developed for the interface? If yes, do you own the code to modify
it? __________________________________________________________________________

What language was the interface written in? ________________________________________

What platform does this interface run on? __________________________________________

How old is the interface? ________________________

Is current documentation available on the use of this interface?


ο Yes
ο Documentation exists but is not up to date
ο No
Assessment
Questionnaire

3. Operations
Interviewee: Operations Manager

Server Support Functions


Please provide the following information regarding the data-center operations/support for all underlying
server applications.

Responses provided by: _____________________________________________________

Responses recorded by: _____________________________________________________

Date: ____________________________________________________________________

Where is the data center located?

___________________________________________________________

What are the operating hours?

___________________________________________________________

How many people work in the data center and what are their functional roles?

___________________________________________________________

Are all jobs in the scheduler?

___________________________________________________________

How often is a new job schedule required?

___________________________________________________________

In the last one-year, how many times have you had unscheduled system outage?

___________________________________________________________

How long has the outage been?

___________________________________________________________

Will there be degradation in response time if more users are added to the system?

___________________________________________________________
Assessment
Questionnaire

What is your preventive maintenance schedule?

___________________________________________________________

What are your change freeze periods (if any)?

___________________________________________________________

For how long and at what time do you bring down the system?

___________________________________________________________

How often do you get applications related problems after the preventive maintenance?

___________________________________________________________

How often do you contact the applications maintenance team?

___________________________________________________________

What are the reasons for contacting them?

___________________________________________________________

What support do you expect from them?

___________________________________________________________

Please provide schedules of all jobs:

Applications # of scheduled jobs Abnormal Pgm


Terminations
Daily Weekly Quarterly Yearly Other Adhoc # Avg. Fix
Time
Assessment
Questionnaire

Web Application Hosting Functions


Please provide the following information regarding hosting/support for all web applications.

Responses provided by: _____________________________________________________

Responses recorded by: _____________________________________________________

Date: ____________________________________________________________________

Where is the web-host server located?

___________________________________________________________

What are the operating hours?

___________________________________________________________

How many people work in the web-hosting environment and what are their functional roles?

___________________________________________________________

In the last one-year, how many times have you had unscheduled system outage?

___________________________________________________________

How long has the outage been?

___________________________________________________________

Will there be degradation in response time if more users are added to the system?

___________________________________________________________

What is your preventive maintenance schedule?

___________________________________________________________

What are your change freeze periods (if any)?

___________________________________________________________

For how long and at what time do you bring down the system?

___________________________________________________________
Assessment
Questionnaire

How often do you get applications related problems after the preventive maintenance?

___________________________________________________________

How often do you contact the applications maintenance team?

___________________________________________________________

What are the reasons for contacting them?

___________________________________________________________

What support do you expect from them?

___________________________________________________________
Assessment
Questionnaire

4. USER Profile
Interviewee: Project Sponsor

Responses provided by: _____________________________________________________

Responses recorded by: _____________________________________________________

Date: ____________________________________________________________________

How many people use this application? (estimated)______________________________

For B2B or internal users, are the users trained in using the application?______________

For B2B or internal users, which business unit (including channel partners) do they belong to and
where are they located?
Location Business Units # of users

Please classify the types of service typically requested by users and the mode of request?
Service Requested Mode (Phone, Meeting, Frequency (High,
Requisitions, Help Desk etc.) Medium, Low)
Immediate help
Bug fixes
Enhancement requests
Training/Queries
Assessment
Questionnaire

5. MIS ORGANIZATION
OVERVIEW
Responses provided by: _____________________________________________________

Responses recorded by: _____________________________________________________

Date: ____________________________________________________________________

Please provide the organization chart of the MIS department:

Please describe the major role, responsibility and objective of each of the organizations in the MIS
department:

____________________________________________________________________________

____________________________________________________________________________

____________________________________________________________________________

Please list the type of tasks being performed by the MIS application staff:
ο Application maintenance – Abnormal Program Terminations, bug fixes etc.
ο Application modification and enhancement
ο Application development
ο Application usage training
ο System software upgrade
ο Production support
ο Testing support
ο Installation support
ο Documentation
ο Planning for new initiatives
ο Other: _______________________________________________________

Which of the above task(s) do you anticipate the outsourcer not to undertake?
Assessment
Questionnaire

ο ____________
ο ____________

What is the current weekly workload for each person?


Person Name Production Maintenance Enhancement Development Training Other Total
Support
40
40
40
40
40
40

What are the skills and the total experience of each person?
Person Name total experience Skill 1 (years) Skill 2 (years) Skill 3 (years) Applications
(years) Known

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