Project/Application Information

Fill in the following information, including the title of your investment or project and a
brief description of it. This information will be included on the summary report.
Title
E-Mail
Project or Investment Title

Description of Project or Investment

Last updated By:

Last updated Date:
oject/Application Information
information, including the title of your investment or project and a
n of it. This information will be included on the summary report.
Sample Project
Sproject Sponsor's email address
Title of the project

High level title of the project

Dinesh Bhat
9/19/2010
 Weightings
Weight each of the following categories. All categories should be included, and the weightings should

Category Description
This category refers to the importance of advisor first,
organizational alignment and vision, business continuity,
Business compliance, Partners and data

This category refers to the importance the underlying technologies

and interoperability of any system. These should align closely with
Application Wellington West's strategic technology standards.

This category refers to the importance the security standards and

underlying technologies related this area. The ability to control
different levels of authorization and authentication must have a
Technology close fit to the Wellington West's strategic technology standards.
d the weightings should total 100%.

Weighting Comments

40%

30%

30%
100%
 Category: BUSI

Category

Advisor First

Organization alignment of
business strategy and vision

Business Continuity

Compliance with regulators

Partners are strategic

Data is an asset
Total
 Category: BUSINESS

Description
Material changes to client product offerings, services
and advisor facing technology, will not occur without
advisors being consulted as a key stakeholder.
Decisions at all levels in the organization will be made
to maximize the overall business strategy and vision.

Critical enterprise operations are maintained in spite of

system interruptions.

Enterprise information management processes comply

with all relevant laws, policies, and regulations.

Enterprise information management processes comply

with all relevant laws, policies, and regulations.
Data is an asset that has value to the enterprise and is
managed.
Total 'Business' Weighting
ory: BUSINESS
Weighting
Fit = 2 Partially = 1 No
Examples Fit = 0
Does the advisor community want this new services?

1
Does this new service caters to a wealth management
platform and a proprietary investment philosophy (i.e.
Core & Explore)
Does this new service position customer service to an
advisor team as a competitive advantage?
1
Is the new service a business critical system in terms of
business principles?

Is compliance approval required?

Does the new service meet the requirements of
compliance department? 0
Does this service enable seamless technical integration
between different functions and partners? 2
Does this new service give the firm the ability to report
on reliable data in a consistent format? 2
7
Comments
 Categor
Category

Common use applications

Ease of use

Application Availability
Capacity Benchmarks

Release and Deployment

Documentation
Disaster Recovery

Application Security

Total
 Category: APPLICATIO
Description
Applications used across the enterprise are preferred over similar or
duplicative applications which are only provided to a particular part of the
organization.

Look, feel and usability of applications are standardized. The underlying

technology is transparent to users, so they can concentrate on tasks at
hand.

Availability (see service level agreement). Targets set for availability can
be obtained from the SLA documents
Capacity and future growth must be considered to review the benchmark
stats of the application

Ease of application deployment.

Availability of user guides and administration guides

Backups and maintainability details of the application must be provided to
work with the DR strategy of the business

Applications used must comply with the security protocols adopted by the
enterprise

Total 'Application' Weighting

ategory: APPLICATION
Examples
Does the new system provide seamless integration between different
functions and different business units within the application?
Does the new system provide consistent processes and workflow
management across the entire organization?
The new system should not introduce redundant functionality.

Does the new system provide single sign on for integration with the
portal?
Does this system provide the capability to Wellingtonize the look and feel?
Is the new service reliable in terms of accessibility and performance?
Does the new service meet user-defined requirements for functionality
and service levels?
Can the new service handle current WW user base and also the future
growth without requiring additiona efforts?
Is systems training required for WW IT to handle the release and
deployment of the new service?
Does the new service provide relevant documentation for WW end users
and technology users?
Does the new service require hosting space at Wellington West?
Does the service meet WW service levels to maintain business continuity?
Does the new service provide LDAP-based access control for Single Sign
On?
Does the new service provide adequate security that falls in line with the
security protocols supported at WW?
Are there any security concerns with the new system?Will the system be
handling sensitive data now, or in the future?
Weighting
Comments
Fit = 2 Partially = 1 No Fit = 0

2
6
 Category: TECH
Techology Standards worksheet describes the industry standard

Category Description

Technological diversity is controlled to minimize the non-

Control Technical Diversity
trivial cost of maintaining expertise in and connectivity
between multiple processing environments.

Software and hardware should conform to defined standards

Interoperability
that promote interoperability for data, applications, and
technology.

Buy Vs. Build We will investigate packaged applications first to see if they
meet our requirements.
The IT organization is responsible for owning and
implementing IT processes and technology that enable
IT Responsibilities
solutions to meet user-defined requirements for functionality
and service levels.
Total Total 'Technology' Weighting
egory: TECHNOLOGY
s the industry standards. Weighting for technology should consider these standards.

Examples
Does the service require technology not supprted by WW?
Does the service warrant developing technology expertise
not available at WW?
Does the new service implement the functionalities that are
already offered by other existing applications?
Are there any security concerns with the new system?Will
the system be handling sensitive data now, or in the future?
Will the system be handling sensitive data now, or in the
future?
Can the new service be implemented in-house?
Does the new system meet buy vs build policy
requirements?
Is the new system designed in such a way that application
speed and performance will meet expectations?
Are new technology support skills required to support the
new system?
these standards.
Weighting
Fit = 2 Partially = 1 No Fit Comments
=0

0
4
 Overview Results
Summary report from your assessments of the five perspectives.

Title Sample Project

E-Mail Sproject Sponsor's email address
Project or Investment Title Title of the project
Description of Project or Investment
High level title of the project

The Weighting column in the table below represents the organization's input for the priority
category when evaluating IT investments. The Score column lists the points (from 0 to 10) a
initiative scored against these priorities.

Perspective Weighting (Percentage)

Business 40%
Application 30%
Technology 30%
Overall Score 100%

The table below is a broad outline for interpreting this score.

Interpretation of Overall Scores

Overall Score Range Interpretation
0%-25% Likely to be a very poor investment.
26%-50% Has some potential, but will likely require significant mod
51%-75% Likely a good investment, but may need some fine-tuning
76%-100% Solid investment.
ew Results
sessments of the five perspectives.

email address

he project

the organization's input for the priority and importance of each

column lists the points (from 0 to 10) as to how well this particular

Weighted Score (Percentage) Score (Average)

28% 7
18% 6
12% 4
58% 17

s score.

tation of Overall Scores

poor investment.
l, but will likely require significant modification before approval is forthcoming.
stment, but may need some fine-tuning.
Component Standard Standards Body

Interconnectivity
Web transport Hypertext Transfer Protocol HTTP IETF/W3C
v1.1
(RFC 2616)
Email transport Simple Mail Transfer Protocol SMTP IETF
(RFC2821.RFC2822)
Directory Lightweight Directory Access Protocol IETF
LDAP V3 (RFC4510) is to be used for
general-purpose directory user
access.
File transfer protocols FTP (RFC 959, RFC1579, RFC2428) IETF

Interoperability
Metadata/MetaLanguage XML (Extensible Markup Language) W3C
XML Metadata definition XML-Schema W3C
XML Data transformation XSL (Extensible Stylesheet Language) W3C
XML Data query Xpath W3C
XML Security mark-up SAML v2.0 (Security Assertion OASIS
Markup Language)
*Used by Ping Identity
Public Key Infrastructure X509v3 ITU-T
Minimum interoperable Transformation Format - 8 bit UTF-8 IETF
character set (RFC3629), individual items in the
XML schema may be further
restricted in character set on a case
Form Representation and by case basis
XForms W3C
Data
Web Services
Web service request delivery Simple Object Access Protocol SOAP W3C
V1.2
Web service request registry Universal Description, Discovery and OASIS
Integration UDDI v3.0
Web service description WSDL 1.1 W3C
language
Information Access
Hypertext interchange Those parts of Hypertext Markup W3C
formats Language HTML v4.0 and XHTML
implemented in common by Firefox
v2.0 or later, and MS Internet
Explorer v6 or later, plus their
interoperable extensions

Working Office Document UTF-8/ASCII Formatted Text IETF

formats (word-processing,
Open Document Format (ODF) v1.0 OASIS/ISO
spreadsheet, presentation)
(ISO26300) and later Oasis versions
Comma-Separated RFC4180 Values IETF
(CSV)
Document formats for PDF Adobe
 PDF Adobe
presentation view

Relational Database Access Structured Query language SQL-92 ANSI

Character sets and alphabets UNICODE ISO/IEC
ISO/IEC 10646-1:2000
Graphical/still image Joint Photographic Experts Group /ISO ISO
information exchange standards 10918

Portable Network Graphics ISO

(ISO/IEC15948:2001)

For images that will not tolerate Adobe

information loss use tag Image File
Format (.tif)
Multimedia audio/visual Moving Picture Experts Group (.mpg) ISO
content MPEG-1 (ISO/IEC 11172)
MPEG-2 (ISO/IEC 13818)
MPEG-4 and ogg
(http://www.xiph.org)
Browser scripting JavaScript (ECMA 262) ECMA

File compression gzip (RFC1951 and RFC1952) POSIX

zip (http://www.pkware.com) IETF

tar(POSIX.1-2001)
Systems
Relational Database MS SQL Server
Web Server Internet Information Server
 Weighting
Does the new system
implement these
standards?
Fit = 2 Partially = 1
No Fit = 0