Infistarr Proposal for UBS Migration Project To United Bank of Switzerland Proposal for System Migration Presented by Infistarr

Prepared by Ambuj Sinha, Ankit Mohan Bansal, Aritra Bhowmik, Niladri Majumdar, Pankaj Singh, Saurabh Rathi of Infistarr, July 23, 2012 BACKGROUND UBS is an Investment Banking company based in Switzerland that assists individuals, corporations and in raising capital by underwriting and/or acting as the client's agent in the issuance of securities. At UBS trillions of dollars and Euros and millions of stocks (Shares, options, mutual funds, debt instruments etc) get exchanged through the investments banking operation of UBS every day. Each stock needs to be monitored individually for standing instructions by the stock holder. The stock needs to be automatically liquidated upon meeting given instructions. The investment banking suite of programs have to be seamlessly connected to different country stock exchanges across most of Europe, USA and some countries in Asia. This enables the investment banking engine (The suite of programs) to monitor each stock across each exchange and take appropriate decision as per the stocks maintained for each individual client. Based on a Request for Proposal issued on July 23, 2012, Infistarr understands that UBS intends to migrate its investment engines to web-centric technologies so that UBS stays relevant and remains integrated with the global network of investment banking. Based on the information presented in the RFP, we understand that UBS wishes to engage a SI to provide the following services: a) Technical assistance in the planning and execution of the migration project; b) Project management skills to create detailed project plans, schedules, and budgets and to ensure effective execution of those plans; c) Shifting the investment banking engine from COBOL programs to J2EE; d) Migrating the databases to any RDBMS suggested by the consultants engaged by the bank recently; e) Moving a number of systems from main frames to high speed servers; f) Technical assistance for comprehensive security systems that meet all the standards as per ISO 27033. This proposal describes Infistarrs understanding of the goals UBS has for this migration project. It defines our proposed approach to achieving those goals, the deliverables to be generated, and our proposed budget of time and expense estimated to produce the described deliverables. SUCCESS CRITERIA Based on the information presented to Infistarr, our consulting team has identified a series of success criteria for this project. In the interest of clear communication and mutual understanding, we have enumerated in this section the priorities and success criteria of this engagement as we understand them. As identified in the RFP, critical success criteria include the following: a) Identification and implementation of a relevant technology for migration.

b) c) d) e)

Successful migration of databases to a particular RDBMS. Seamless movement of main frames to high speed servers. Compliance to UBS standard norms of procurement. Deployment of world-class network equipment that will ensure secure and intrusion-free networks. f) Conformance to quality standards of UBS Other specialized skills, such as experience of handling at least three large scale migration projects, prior work with an Investment Bank, handling web-centric technologies and creation of responsive data centre are required. We have catalogued these success factors in order to ensure agreement regarding their priority, the budget and schedule associated with them, and the risks and assumptions inherent in each. Our experience with projects of this type indicates that clear and open understanding of these success factors leads to greater probability of project success. APPROACH Infistarr approaches Systems Integration projects with a unique perspective: We believe that the application of a structured project management discipline is the deciding factor in the success of IT projects. Every engagement we undertake follows our IT Consulting Framework, which enforces a strict project discipline to ensure that we deliver the expected results. Our discipline requires that we perform a detailed project assessment, which results in documented objectives, milestones, and deliverables for every project. In addition, our IT Consulting Framework also enforces the use of a detailed discovery procedure, in which we review the clients current business work flow, technology architecture, application usage, and data needs, in order to certify that we have a clear understanding of the current environment before we attempt to design a solution. Our experience with this methodology allows us to make the following assurance to our clients: If you agree to follow our project methodology, and you are not satisfied with the results of our engagement, you dont pay. We are proud to say that, in our ten years of providing IT services, we have never had a client ask us to honor this pledge. In addition, we have never had a client who has not agreed to be a reference site for our project work. We have built this record because our methodology works, because we focus on client service, and because we honor our commitments. We appreciate the opportunity to present our proposed approach to UBS. Infistarr proposes to deliver the UBS System Integration Project in the following manner: Project Assessment Phase Infistarr will collaborate with the UBS project sponsors to create a joint UBS-Infistarr Migration Project Team, with the responsibility of defining the objectives, priorities, and deliverables for this project. An Infistarr project manager and a UBS primary project sponsor will be designated. Infistarr will then meet with the designated IT and departmental resources, and other UBS associates, for the purposes of: a) Defining the requirements, time frames, and priorities of the migration project; b) Developing consensus regarding the success criteria;

c) Understanding the roles and responsibilities of the UBS team and the Infistarr team; d) Assessing the requirements for post-move support; e) Assessing the requirements for hardware support, such as network equipments, data centers; f) Performing site walk-throughs of all current systems to be migrated; g) Designing project status reporting formats. The desired outcome of the assessment phase is an accurate profile of the objectives, success criteria, expectations, and skills required to deliver this project successfully. The deliverables from this phase include the following: a) b) c) d) e) A Preliminary Project Objectives statement, A Project Success Criteria document, A Roles and Responsibilities document, A Project Status Reporting procedure, and An assigned project team from UBS and Infistarr.

These documents will be presented for review to the UBS project sponsors. Upon acceptance, they will form the basis of the agreement between UBS and Infistarr to collaborate on this project. Current State Discovery Phase In order to assure a complete understanding of the devices, systems, and applications affected by this migration project, Infistarr will perform a discovery process that will include the following activities: a) Review of the investment banking engine to increase our familiarity with the decision model to be migrated; b) Review of existing databases and data centers; c) Review of the existing server and network architecture; d) Review of the standard norms and quality processes of UBS; e) Review of any existing system documentation; f) Review of any business process work flow documents, such as flow charts or operating procedures manuals; g) Review of backup and contingency plans; h) Creation of a user survey form, to collect data regarding UBS associates use of technology and expectations for migration; i) The scheduling of facilitated work sessions with IT staff and with user departments, to discover special needs and requirements for the migration. (This will be especially important with the Systems, Hardware, Security, Networking and Procurement departments, to ensure that all special requirements are documented and addressed.) The purpose of this discovery phase is to prepare an accurate as-is model of the enterprise and to enable the project team to create a detailed project plan, budget, and schedule for the relocation project. By developing a complete understanding of the technology, application, and business needs of the Systems, Hardware, Security, Networking and Procurement Departments, as well as all functional areas affected by the move, we ensure that each UBS department receives the specific handling and attention required to assure uninterrupted system access.

The deliverables from the discovery phase include the following: a) A technology architecture document describing our findings regarding the current technical infrastructure. This may include any diagrams, network maps, or other material discovered or developed in the effort to document the current systems. b) A work flow diagram, documenting the interactions of major systems and procedures. c) A verified asset inventory, or, if asset verification is not possible, we will submit a plan for asset discovery. d) A data storage map, to ensure that all data that are required for uninterrupted processing are available after the move. e) These detailed as-is documents will form the basis for the project plans to follow. Project Design Phase Based on the information discovered in the assessment and discovery phases, the UBS-Infistarr Migration Project Team will collaborate to create a detailed project plan. This plan will define the specific tasks associated with this project, the resources assigned to those tasks, the sequence of events and schedule of deliverables, as well as any risks or open issues for further review. This plan will present to the UBS project sponsors the teams estimates of time and expenses required to deliver the relocation according to expectations set out in the previous phases. The deliverables from the Project Design Phase would be as follows: a) A Scope of Work Document that would contain the final agreements regarding objectives, success criteria, priorities, and deliverables; b) A detailed project plan, including tasks, task sequence, assigned resources, estimated task durations, and a Gantt chart; c) A project schedule including estimated start and finish dates for each task; d) A materials list enumerating any hardware or software products, tools, or other materials required to deliver this project; e) A project estimate, including estimates for services, materials, and expenses; f) A risk management plan, including backup and contingency plans to ensure that all systems have data backups; g) A change control mechanism for managing changes or impacts to the project; h) A special plan for the migration of the Investment Engines and the Databases; i) A plan for special handling of the hardware and data centers; j) A compliance plan for the Procurement, Networking and Security Department; k) A support plan for providing after-move support to UBS associates; and l) A communication plan to ensure appropriate participation among all the entities involved. Project Implementation Phase During the implementation phase, Infistarr and UBS will work together to execute the plans designed during the previous phase. We will manage and control the resources to ensure that budget and schedule expectations set forth earlier were met and will deal with any open issues or scope changes that arise. We will apply quality control procedures to ensure that all deliverables and activities meet our expectations and standards. Deliverables of the implementation phase include:

a) b) c) d) e)

Status reports based on the reporting process laid out earlier, Change control reports, Periodic budget and schedule updates, and Open issues reports. Project Review and Maintenance Phase

At the completion of the migration, we will perform a structured review process with UBS project sponsors to ensure that all open items were addressed, that the project delivered the results expected, and that UBS was properly prepared to resume system operations in the new platform. As is our standard process with all engagements, we will request that UBS project sponsors fill out a project review and acceptance form, to document acceptance of project completion and to record any issues or comments regarding our performance. The maintenance activities include any after-move support that we have agreed on, as well as any warranty work or other additional activities that UBS requests us to undertake. PROFESSIONAL FEES Infistarr estimates that the consulting budget for the assessment and discovery phases of this effort, as described above, would be $ 40000.00, as detailed below.
Technical Team DBA Architect Functional Team Business Analyst Management Team Project Manager 1 1 Billing Rate ($/hr) 80 110 Total ($) 6400 8800

160

12800

300

12000 40000

Professional fees are billed monthly based upon actual hours expended in your behalf. This estimate is presented for budgeting purposes only, and should not be construed as a fixed bid or not-to-exceed price. UBS will be billed for actual effort expended at the professional rate defined above. This estimate of professional fees is based on the scope and assumptions identified herein. Changes in scope or variances in assumptions can impact engagements either negatively or positively. Should any changes or variances occur that may affect the outcome of this engagement, Infistarr will notify the designated UBS Project Sponsor within seventy-two hours. Please note that the fees estimated in this section apply to the assessment and discovery phases only. They will result in the delivery of the documents as described under Deliverables for those phases. The planning, implementation, and review phases outlined in this document are not included in this estimate, and will be separately proposed, priced, and delivered.

ASSUMPTIONS The following is a list of assumptions made during the development of this proposal and its related work plan. Client Participation UBS will appoint a Project Sponsor to oversee the direction of the project. The appointed Project Sponsor will have decision-making authority over all aspects of the project. The success of this project is dependent on the participation of UBSs employees. UBS will provide access to required personnel to perform assigned tasks, review documents, and approve deliverables in a timely manner in order to avoid negative impact on the project schedule. UBS will review interim and final deliverables and report acceptance or discrepancy within forty-eight hours of the submission of deliverables. Other Agreements Guaranteed Satisfaction The guarantee of satisfaction alluded to in this document is subject to certain restrictions and guidelines. These restrictions are documented in a separate document entitled The Infistarr Customer Satisfaction Guarantee, which will be presented as an addendum in the event this proposal is accepted and our services are contracted for this project. Infistarr will devote its best efforts to the engagement defined in this proposal. In no event shall Infistarr be liable for indirect, special, or consequential damages arising from its service. Expiration The terms of this proposal expire in ninety days from the date of receipt and are subject to renegotiation at that time, unless a formal extension is provided by Infistarr. Quality Management All engagements performed by Infistarr are subject to quality assurance reviews to assure they are being performed to the highest standards. During the course of this engagement, Infistarr quality personnel will be calling on key UBS personnel as part of this process. Post-Engagement Review The success of UBS in this initiative is our prime interest. Therefore, as part of this process, Infistarr will be conducting a Post-Engagement Review within ninety days after the completion of the engagement. By accepting this proposal the client agrees to participate in a project review session. Proprietary Information All materials, ideas, concepts, knowledge, and techniques presented to UBS during the performance of this engagement by Infistarr shall belong to Infistarr. Deliverables produced remain the property of Infistarr until all invoices for services provided are paid in full, at which time ownership of the deliverables produced will transfer to UBS. (Note to readers: References, financial data, and other information requested in the UBS RFP are not included in this sample proposal.)