Information Systems Capstone Contents 1.0 Introduction Singh, Shirah, and Barber Financial Holdings LLC. continues to grow its business, increasing their dependency on information technogy. The firm has reached a point where a more flexible, scalable, straightforward infrastructure, and easily managed applications are required for sucessful business practices. A solution like Amazon Web Services (AWS) can provide the computer power, storage, and other resources needed as the firm expands. Solution s of this magnitude do require a considerable amount of upfront investment, but will provide minimal cost for subsequential years reducing overall capital expenses. This solution will also enable minimal effort when moving applications to the cloud, minimizing support, to include administrative cost while retaining performance, security, reliability, and data integrity. 1.1 Company at a Glance Singh, Shirah, and Barber Financial Holdings LLC., has drastically increased the number of clients and accounts over the past couple of years. This growth prompted the need for more qualified staff, additional offices and space, and newer communication technologies to facilitate services and improved management. The firm has acquired several buildings in various cities which are ready to be outfitted with network infrastructure, user workstations, peripherals and software applications. 1.2 Challenges With just one present location in XYZ city growth in its industry is challenging, therefore the opening of several branch locations in various cities coupled with the data migration to a cloud service has become its number one project. The firm’s current infrastructure is limited, it does not currently have a full scale WAN and remote access (VPN), only a local LAN through the major local ISP is employed. All backups are stored onsite with tape copies sent to a cold off site location. Databases with all financial information are stored in the local server and there are no true access control restrictions. Additionally, there is only one system administrator performing all major database tasks and network functions. Financial health is one of the most protected types of digital content. Finding ways to store, secure, and manage such data in this ever changing world of computing is a challenge. In order for the firm to grow and blossom, a large and fast LAN/WAN network is needed. Such network must provide access to internal resources via secure methods of authentication and also from the outside by a secure web interface client. VPN capabilities for traveling and visiting staff should provide a secure connection to internal resources. Access to the network and network shares must be tightly secured based on departmental roles. All databases will be kept in separate servers and backups will be conducted routinely (Weekly, Monthly; incremental/full). Access to database tables will be based on individual approval; single sign on authenti.

1. Information Systems Capstone
Contents
1.0 Introduction
Singh, Shirah, and Barber Financial Holdings LLC. continues to
grow its business, increasing their dependency on information
technogy. The firm has reached a point where a more flexible,
scalable, straightforward infrastructure, and easily managed
applications are required for sucessful business practices. A
solution like Amazon Web Services (AWS) can provide the
computer power, storage, and other resources needed as the firm
expands.
Solution

2. s of this magnitude do require a considerable amount of upfront
investment, but will provide minimal cost for subsequential
years reducing overall capital expenses. This solution will also
enable minimal effort when moving applications to the cloud,
minimizing support, to include administrative cost while
retaining performance, security, reliability, and data integrity.
1.1 Company at a Glance
Singh, Shirah, and Barber Financial Holdings LLC., has
drastically increased the number of clients and accounts over
the past couple of years. This growth prompted the need for
more qualified staff, additional offices and space, and newer
communication technologies to facilitate services and improved
management. The firm has acquired several buildings in
various cities which are ready to be outfitted with network
infrastructure, user workstations, peripherals and software
applications. 1.2 Challenges
With just one present location in XYZ city growth in its
industry is challenging, therefore the opening of several branch
locations in various cities coupled with the data migration to a
cloud service has become its number one project. The firm’s
current infrastructure is limited, it does not currently have a full
scale WAN and remote access (VPN), only a local LAN through
the major local ISP is employed. All backups are stored onsite
with tape copies sent to a cold off site location. Databases with
all financial information are stored in the local server and there

3. are no true access control restrictions. Additionally, there is
only one system administrator performing all major database
tasks and network functions.
Financial health is one of the most protected types of digital
content. Finding ways to store, secure, and manage such data in
this ever changing world of computing is a challenge. In order
for the firm to grow and blossom, a large and fast LAN/WAN
network is needed. Such network must provide access to
internal resources via secure methods of authentication and also
from the outside by a secure web interface client. VPN
capabilities for traveling and visiting staff should provide a
secure connection to internal resources. Access to the network
and network shares must be tightly secured based on
departmental roles. All databases will be kept in separate
servers and backups will be conducted routinely (Weekly,
Monthly; incremental/full). Access to database tables will be
based on individual approval; single sign on authentication via
windows will provide secured network access without the
complication of multiple username/password plus database
access control/auditing capabilities which the firm currently
lacks. 2.0 Project Strategy Statement
Cloud computing value cannot be measured in dollars;
migrating to the cloud provides cost savings, and great benefits
such as data security, data integrity, auditing, access control,

4. flexibility and scalability. 2.1 Objective
Gaining benefits of cloud in the financial service industry
requires successfully navigating a highly complex technical and
regulatory environment. Cloud migration for a firm such as
Singh, Shirah, and Barber Financial Holdings LLC., will
addresses many challenges;
· Data Security- Encryption, secure access
· Risk & Compliance- Regulatory, audit and legal postures
· Industry Standards- ISO, NIST
· Governance- continuous governance and management
· Change management- tools and management models
· Automation
· DR/ BC –build in redundancy and disaster recovery
capabilities 2.2 Scope
The strategy for migrating to a cloud service(s) should align
with the strategy and vision of the firm. By reducing the total
cost of data center hardware, software, operations, and shifting
the IT finances to a more efficient computing platform
promotes the user and increases the security posture of Singh,
Shirah, and Barber Financial Holdings LLC.2.3 Competitive
Advantage
To stay on top of in this competitive financial market and pose
a challenge to competitors, our company has decided that it is
time for growth. Along with growth of a company the
infrastructure and the operational capabilities must grow in

5. parallel. In order to accomplish this growth, it is best for our
company to seek out a Cloud solution to ensure our data
systems can scale at the same pace as the company’s employees
and clients. In order for any company to stay competitive in the
market, the two most important things that need to be
considered are profit and growth. Both profit and growth are
only achievable if you have a well-established service and
customer base. In the financial sector, the most important trait
of a financial partner for customers is trust and security.
Like many other innovative technologies the value of cloud
services lies not just in the technology but in the operational
changes that it brings.
· IT staff can be freed from routine maintenance and task and
focus more on strategic projects
· Eliminate footprint of data center
· New applications which can improve revenue and information
processing can be easily tested and launched. The latest
versions of applications needed to run are made available as
soon as they are released.
· Cloud services can add functionality to established ecommerce
sites.
· Improved mobility, workers can access their resources from
anywhere via smart phones/tablets.
· Cloud offers flexibility; it can be turned up or down depending

6. on the needs.
· Less environmental impact
· Scaling of network infrastructure to analogous that of the
company3.0 Project Management Methodology
The Project Management Methodology is an important
document that can be leveraged to inform the project team on
procedures, communications, best practices, and lessons
learned. Within this project management methodology
document, we wish to establish the following:
· Create a framework for the management of the project
· Establish standards and guidelines for project processes
· Afford project teams and manager guidelines for project
results
· Create a vehicle for project managers to leverage policies and
practices that aid in project sharing
The methodology depicted in this document derives from an
assimilation of organizational best practices, current company
practices, and consultants. In order to structure this
methodology, the project was segmented into five different
management phases; planning, analysis, initiation, management,
and termination. These phases are designed to be inclusive of
all aspects of the project. While some aspects of the phases may
overlap, each phase serves its own purpose. Additionally, these
phases do not have to be undertaken sequentially, waiting to

7. begin the next once the previous is concluded. These phases can
be executed in parallel. This should allow for the adoption of an
agile strategy for the project if desired. Deliverables have been
built into the methodology to provide shareholders with a clear
understanding and communication of project status and
outcomes.3. 1 Phase 1- Planning
The planning phase of the project life cycle will be an outline
phase. During this phase the scope and structure of the project
will be formed. While this phase progresses, it will generate the
Project Proposal. At this point, the project is in its infancy and
has not yet been approved to procced as a viable project. This
phase does include the scope of the project, but it is a rough
estimate of the scope. The more finite and detailed scope of the
project would be flushed out if the project is approved to
continue. For this reason, the cost estimates are just that, best
guess estimates. These are designed to give the decision makers
reasonable information to determine the feasibility and
practicality of the project. Within this phase there are both
expected actions and outputs.
Planning Actions
The initial project purpose must be defined and translated into a
Project Proposal. The Project Proposal must define the
following:
· The problem expected to be solved by the project

8. · The project goals and objectives
· Measurements of success
· Project Budget
· Project Timeline
· Project Assumptions and Constraints
· Project Risks
It is at this point a decision must be made to ‘Go’ or ‘No Go’ on
the project via senior management. If the project gets approved,
it will move onto the next phase of the methodology. If the
project is not approved, then it will be documented as to why
and serve as a lessons learned for the project approval process.
Planning Outputs
The outputs that should be expected during the Outline phase of
the project life cycle are:
· Sponsor approval
· Project Proposal
· Management approval
3.2 Phase 2- Analysis
The planning phase of the project life cycle will be an outline
phase. During this phase the scope and structure of the project
will be formed. While this phase progresses, it will generate the
Project Proposal. At this point, the project is in its infancy and
has not yet been approved to procced as a viable project. This

9. phase does include the scope of the project, but it is a rough
estimate of the scope. The more finite and detailed scope of the
project would be flushed out if the project is approved to
continue. For this reason, the cost estimates are just that, best
guess estimates. These are designed to give the decision makers
reasonable information to determine the feasibility and
practicality of the project. Within this phase there are both
expected actions and outputs.
Planning Actions
The initial project purpose must be defined and translated into a
Project Proposal. The Project Proposal must define the
following:
· The problem expected to be solved by the project
· The project goals and objectives
· Measurements of success
· Project Budget
· Project Timeline
· Project Assumptions and Constraints
· Project Risks
It is at this point a decision must be made to ‘Go’ or ‘No Go’ on
the project via senior management. If the project gets approved,
it will move onto the next phase of the methodology. If the
project is not approved, then it will be documented as to why

10. and serve as a lessons learned for the project approval process.
Planning Outputs
The outputs that should be expected during the Outline phase of
the project life cycle are:
· Sponsor approval
· Project Proposal
· Management approval
3.3 Phase 3- Initiation
The initiation phase of the project begins once the project has
been organized and given the ‘Go’ decision from the executives.
At this point the structure of the project is completed and all of
the delegation of duties and responsibilities has been conducted.
Since the project is a work in progress, there may be cause for
team members to adapt the project work as necessary to ensure
the identified tasks can and will be accomplished. With all
projects conducted by the organization the project manager will
be the primary driver to keep the project on track to achieve the
specified goals. These are done in accordance with the project
sponsor’s demands and business decision. It is important to
record all issues that arise during this phase to ensure they can
be presently mitigated or avoided in future projects. An issue
can include anything that can impact the project’s timeline,
goals, or objectives.

11. Initiation Activities
· Project kick-off meeting
· Assign team members
· Assess and review project plan
Initiation Deliverables and Outputs
· Resource requirements
· Risk analysis
· Issue records3.4 Phase 4- Management
The management phase of the project is the most labor intensive
and toughest to execute. This phase lasts the duration of the
project and its primary purpose is to ensure active engagement
of team member and stakeholders occurs during the project life
span. During this phase reporting and tracking are critical
exercises to ensure the project stays on course and project
success occurs. For this reason the management phase will
incorporate various forms of communication such as email and
meetings to ensure all stakeholders are adequately informed on
the project status. This communication within this phase
consists of formal and informal communications to internal and
external players. Formal communications will consist of
presentations, briefs, and reports. Informal communication is
team discussion and brief verbal interactions. Any formal
reports should be included in calendar as a deliverable. As for
meetings these need to include the project sponsor, project
manager, project team, and vendor SMEs where applicable.

12. These meetings need to be held on a weekly basis and should
focus on the progress of previous tasks, the upcoming tasks, and
any issues involved with the project. It is imperative for the
success of the project that team members implement at least the
minimum reporting requirements.
Management Activities
· Project Plan Reporting and Execution- Regular weekly status
reports must go to the project sponsor from the project manager
updating them on the project status in real time. Also, any
issues that arise during the project need to be reported to the
project sponsor or manager if they affect the timeline, budget,
or resources.
· Risk/Issue Management- Mitigations should be implemented
to ensure the impact to the project dealt by a risk occurrence is
reduced as much as possible. If a risk occurs, the project
manager and the project sponsor need to be made aware of the
risk that occurred and the expected impact to the project.
· Communication Management- Strong communication is
essential to any project. In order to ensure this communication
is carried out successfully the following forms of
communication will need to be utilized daily; project status

13. reports, email, and phone calls. Team meetings should be held
at a minimum of biweekly and in cases where information may
need to be immediately disseminated.
· Project Change Request- If it is determined the scope of the
project needs to be adjusted, a project change request must be
made. The change request process requires a memo be sent to
the project manager detailing the change that is required. Once
the change is evaluated and found sustainable by the project
team and manager, the project manager will submit the project
change request form to the project sponsor for final approval.
The project sponsor can accept, reject, or forward it back to the
project manager for review. Once the project change is
submitted there are five outcomes that can occur.
· No change to resources or timeline
· No change to resources, increase in timeline
· Increase to resources, no change in timeline
· Increase to resources, increase in timeline
· Cannot be accommodated
Management Deliverables and Outputs
· Work breakdown structure (WBS)
· Status reports
· Risk reports
· Budget updates
· Schedule updates

14. · Communications to sponsor
· Communication to stakeholders
· Change control requests3.5 Phase 5- Termination
Once the project has concluded and is past the management
phase the project must formally come to an end. With this
formal ending certain actions need to occur to ensure the project
is ended appropriately and future projects can reap the benefits
from the project that has completed. Once all deliverables have
been sufficiently produced, there have been changes in
circumstance, or the project has been deemed a failure the
termination phase will begin.
The termination phase is a means to provide improvements to
the firm’s methodology of project management. By using the
lessons learned, templates, examples, and improved processes
and techniques the process of project management as a whole
can improve.
Termination Activities
· End the project
· Weigh project performance on time
· Weigh project performance on budget
· Weigh project performance on objectives
· Deliverables acceptance
· Project transition
· Administration termination
· Lessons learned

15. · Resource release
· Termination celebration
Termination Deliverables and Outputs
· Final sponsor approval
· Administration project termination documentation
· Lessons learned
· Resource reports
· Peer evaluations
· Any other project documentation developed4.0 Business
Requirements and Rules
Compliance demands can be a daunting subject for both
customers and cloud providers by better understanding
compliance issue and cloud migration phases issue can be
prevented. Cloud computing security and compliance are a
large concern for costumer specifically in the financial industry.
Cloud computing providers shoulder equal responsibility in
regards to security and compliance by having a high quality
security auditors look at the network security and physical
security and restricting user and server functions. For Singh,
Shirah, and Barber Financial Holdings LLC., migrating their
services to a cloud provider will provide the flexibility to
continue to grow while staying in compliance and ensuring
customer data security. 4.3 Use case scenarios
The process of migration of the database into the cloud involves
3 main stages:

16. 1. Building the necessary infrastructure to be used, so as to be
able to accommodate the rise in number of the customer’s
transactions and also increase in data quantity.
1. Identifying the possible risks that might occur and how to
prevent them.
1. Migration of the financial data into the cloud.
Out of the above main steps we are able to derive the use-cases
in the project.
USE-CASE NAME
USE CASE DESCRIPTION
PARTICIPATION ACTORS AND ROLES
Building the IT infrastructure
The use-case describes putting in place the relevant structures
to accommodate the new technology of cloud computing
· IT Team (internal)
· Database manager (internal)
Putting in place the relevant security measures to curb the risks
that might occur
The use-case describes the risks that might occur with adoption
of the new technology
· IT Team (internal)
· Database manager (internal)
Migrating the financial data (old database) into cloud
The use-case describes how data is transferred into the cloud

17. · Database manager (internal)
· IT Team (internal)
Planning the expansion and widening the IT infrastructure
The use-case describes the process of planning the expansion
and widening the IT infrastructure
· Database manager (internal)
· IT Team (internal))4.3.1 Building the Relevant Infrastructure
Use-case name
Building the IT infrastructure
Use-case id
1
priority
high
source
Requirement analysis
Primary business actor
Database manager and IT Team
Other participating actors
N/A
Other interested shareholders
The management
Description
It provides a description of the process of building the
necessary infrastructure to accommodate the new technology in

18. Singh, Shiraz, and Barber Financial Holdings LLC
Precondition
There must be previous data and increase number of
transactions.
Trigger
Its initiated when the rise in number of customers become high
to be handled by the available database
Typical causes of the events
Step 1: The database manager highlights what need to be added
in the firm
Response: Purchase of the relevant equipment that can handle
the new Technology
Step 2: IT Team approves whether the proposed equipment’s
can be able to handle or accommodate the new technology
Response: The database is ready to be migrated to the cloud
Alternate causes
Increased number of transactions
Conclusion
IT infrastructure building concludes and the system is ready to
be migrated
Post-condition
The IT infrastructure is ready to accommodate new technology
Business rules
The equipment proposed must be adequate and able to
accommodate

19. Assumptions
N/A
Implementation constraints and specifications
N/A4.3.2 Putting in Place Relevant Security Measures
Use-case name
Putting in place relevant security measures
Use-case id
2
priority
high
source
Requirement analysis
Primary business actor
IT Team and database manager
Other participating actors
N/A
Other interested shareholders
N/A
Description
The risk identified can occur with new technology to be adopted
Precondition
With the new technology, there must be possible risks
Trigger
The use-case is initiated by the fact that even upon adopting

20. cloud computing there must be some risks associated with it
Typical causes of the events
Step 1: possible risks are identified by the IT Team with the
help of the database manager
Response: Necessary measures to curb the risks are put in place
before migration is done.
Alternate causes
Previous occurrence of such risks
conclusion
With the new measures put in place, the occurrence of the
identified risks chances is minimal
Post-condition
The system itself can be able to handle most of the identified
risks
Business rules
The system can be able to handle and avoid the risks
Assumptions
N/A
Implementation constraints and specifications
N/A4.3.3 Migrating the Database into the Cloud
Use-case name
Database migration
Use-case id
3

21. priority
high
source
Requirement analysis
Primary business actor
IT Team and database manager
Other participating actors
N/A
Other interested shareholders
The authority
Description
Use-case describes the process of migrating the database into
the cloud
Precondition
The proposed infrastructure is to be able to handle the new
technology and also be able to take care of the possible risks
occurrence
Trigger
The need for the firm to grow and adopt new technology and be
able to handle the rise in number of the customer’s transactions
Typical causes of the events
Step 1: Migrating the database into the cloud
Response : The new database is transferred into the cloud
Alternate causes

22. N/A
conclusion
The new database concludes that it’s able to handle rise in
number of transactions and be able to curb the risks associated
with the cloud computing.
Post-condition
The data is stored and updated in the cloud
Business rules
All transactions history can be retrieved from the cloud
Assumptions
N/A
Implementation constraints and specifications
N/A
Logical ERD Diagram
Physical ERD Diagram

23. UML Use Case 1 Diagram
UML Use Case 2 Diagram
UML Use Case 3 Diagram