Technical Reference Model - PBGC

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Office of Information TechnologyTechnical Reference ModelMay 1, 2014

Technical Reference Model[This page intentionally left blank]

Technical Reference ModelTable of Contents1Overview . 31.11.2Purpose . 3Governance . 42Classification . 53PBGC Integration Architecture. 83.13.23.33.4PBGC Security. 9Data Integration . 10Service Integration . 10Technology Stack . 104TRM Update Process . 115Standards Profile . ns . 12User Systems . 15Servers. 31Security . 48Connectivity . 49Technology Service Management . 54User Service Management . 57Technology Delivery Support . 58Enterprise-wide Services & Technologies . 72Storage . 83Telephony . 86IT Facilities. 88

Technical Reference ModelRevision HistoryDateJune 10, 2009 February 18, 2011March 2, 2011AuthorAndrewShatokhin, RichieStockholmAndrew ShatokhinMarch 8, 2011March 21, 2011April 20, 2011April 25, 2011May 10, 2011May 24, 2011Andrew ShatokhinAndrew ShatokhinAndrew ShatokhinAndrew ShatokhinAndrew ShatokhinAndrew ShatokhinMay 25, 2011Andrew ShatokhinJune 17, 2011Andrew ShatokhinAugust 7, 2011Andrew ShatokhinAugust 30, 2011Andrew ShatokhinSeptember 9,2011September 22,2011February 1, 2012Andrew ShatokhinMay 1, 2012Kirby SuttonAugust 1, 2012Kirby SuttonKirby SuttonKirby SuttonNotesArchivedAddressed EA Feedback: replaced grade titles:“recommended” with “current” and “future” with”recommended”. Updated text describing valid lifetime of theTRM revisions.Updated the versions of trillium and Oracle ApEx products.Added the Applications Patterns diagram.Updated based on information from ITSLCM reviews.Added details on the oracle products from the OIM suite.Updated developer test tools category.Replaced names of the Contained state with “Increasing Risk”and Deprecated with “Phase Out”.Added WebCenter components. Renamed Target ConceptualArchitecture to the PBGC Integration Architecture inaccordance with ETA.Corrected footnotes and made the TRM Update section referto TRB processes. Replaced “Increasing Risk” with “At Risk”.Combined the “At Risk” and “Phase Out” per EA Team’sfeedback. Moved items that were in the “Restricted” gradedue to historical reasons (e.g., .Net stack technologies) to the“At Risk”. Introduced the Update Sensitivity Indicator.Documented the existing grandfathering rule.Added Thunderhead Now 5.1 and Riverbed WANOptimization Controllers (SteelHead, Central ManagementConsole, Steelhead Mobile Controllers) approved by the TRB.Changed USI values to the ones provided by TRB.Incorporated SME feedback for USI values of TRMcomponents.Incorporated all updates from TRM Change Log for quarterlyupdate.Incorporated all updates from TRM Change Log for quarterlyupdate.Incorporated all updates from TRM Change Log for quarterlyupdate.1

Technical Reference ModelNovember 1, 2012Kirby SuttonFebruary 1, 2013Peter NguyenMay 1, 2013Peter NguyenAugust 1, 2013Peter NguyenNovember 1, 2013Peter NguyenFebruary 1, 2014Peter NguyenMay 1, 2014Peter NguyenIncorporated all updates from TRM Change Log for quarterlyupdate.Incorporated all updates from TRM Change Log for quarterlyupdate.Incorporated all updates from TRM Change Log for quarterlyupdate.Incorporated all updates from TRM Change Log for quarterlyupdate.Delivered all updates from the TRM Rationalization efforts.Also, incorporated all updates from the TRM Change Logquarterly update.Incorporated all updates from TRM Change Log for quarterlyupdate.Incorporated all updates from TRM Change Log for quarterlyupdate.2

Technical Reference Model1 OverviewThe Pension Benefit Guaranty Corporation (PBGC) Enterprise Architecture (EA) program aligns theCorporation’s information technology (IT) assets with the Corporation’s mission, goals, and businessfunctions. The Technical Reference Model (TRM) serves as a blueprint for the IT support role of themission. The PBGC TRM consists of three major elements: Classification - the classification is based on real world usage of technology components.Classification is used to categorize the various products used at PBGC and show whetherthey are recommended for retirement, current, or future use.Standard Profile - the standard profile is the list of actual hardware, software, andinformation technology used in PBGC information systems and infrastructure. This profileincludes a column that describes what is in use now, a column identifying the target towhich future development will migrate, and a column identifying the owner of the ITinvestment for that particular item.PBGC Integration Architecture - the integration architecture diagram is a depiction of howthe various elements relate to each other in the PBGC environment.This document lists a lot of protocols, technology items, and products that are often changed orupgraded by the system owners. As a result, the information in this document may be lagging behindthe upgrade and update events due to maintenance processes. Readers are advised to contact EAdirectly if the version or product information found in this document does not match the currentconfiguration in PBGC environment(s).Project teams must use the latest revision of this document when creating their System EnvironmentPlan.1.1 PurposeA Technical Reference Model is a framework that: Provides a common conceptual view of IT.Establishes a common vocabulary to better describe, compare, and contrast systems andcomponents.Provides a consistent set of technology areas, definitions, interfaces, and relationships used toaddress interoperability and open system issues.Serves as a basis (or aid) for the identification, comparison, and selection of existing andemerging standards.The PBGC TRM provides guidance to enterprise architects, technology managers, developers, andindividuals that plan, acquire, develop, or use information systems. The TRM promotes open sourcedesign by identifying the relationship between IT components and services. System developers or3

Technical Reference Modelsystem owners can use the TRM to identify types of technologies they will need to enable their systems.By focusing on these technology categories, they can articulate their IT needs at a higher level ofabstraction, which avoids linking solutions to specific products or vendors too early in the solutiondevelopment life cycle (SDLC).The TRM also establishes a consensus on how to describe, discuss, and relate the many technologiesthat support the IT infrastructure and enables a common framework for mapping IT investments in theCapital Planning and Investment Control (CPIC) process. This includes tracing investments to theStandards Profile and to the Federal Enterprise Architecture model as required by the Office ofManagement and Budget (OMB). The OMB EA Assessment Framework calls for mapping technology andinvestment according to a Technical Reference Model. Using the TRM for these purposes allows PBGCto facilitate a strategic alignment of IT investments, while ensuring a high level of program maturityunder the OMB Assessment Framework capabilities model.1.2 GovernanceThe PBGC Technical Review Board (TRB) will maintain the PBGC TRM. The TRB will also define andmaintain the specific processes and criteria for evaluating compliance with the TRM.Additionally, the TRB will facilitate the process for updating the language and content of this TRMdocument. The information that the TRM captures for this governance process is documented in section5.1.2.4

Technical Reference Model2 ClassificationThe TRM describes the agency’s information technology elements. IT for an agency is complex; it iscomprised of multiple domains managed by people with expertise in a variety of domains. To assurethat all IT Infrastructure details are captured and to simplify TRM management in the future, thefollowing 11 major categories were identified: User SystemsServersSecurityConnectivityTechnology Service ManagementUser Service ManagementTechnology Delivery SupportEnterprise ServicesStorageTelephonyIT Facilities5

Technical Reference ModelThe Figure 1 depicts the hierarchical relationships of the various categories.Figure 1 IT Infrastructure major categories and sub-categories6

Technical Reference ModelFigure 2 shows the various TRM dependencies. The relationships among the infrastructuretechnologies are complex but the simplistic view in Figure 2 shows that certain technologies’configuration, maintenance or physical instantiation is determined by the containing technologycategory.Figure 2 Relationships among the major IT Infrastructure categories7

Technical Reference Model3 PBGC Integration ArchitectureFigure 3 depicts the integration architecture for PBGC. A goal of the enterprise architecture is to movePBGC to a service-oriented environment to achieve business goals. The target infrastructure mustsupport the integration of a variety of solution architectures including custom-developed applications,commercial off-the-shelf (COTS) or government off-the-shelf (GOTS) products, and use of Lines ofBusiness (LoB) or Shared Service Providers (SSP). The solutions should also be built or selected with thePBCG integration requirements in mind. Additionally, external entities such as State Street Bank or theInternal Revenue Service must be able to connect and interact with the PBGC infrastructure.Integration is essential for efficient operations within PBGC. Custom-developed applications shouldfollow a layered approach in system design, taking advantage of enterprise data services, integratingwith existing security solutions, and exposing data for reporting. COTS or GOTS products that maintainproprietary data structures, security controls, and business logic must provide mechanisms to enableintegration with PBGC enterprise solutions. Any LoB or SSP selected must provide data integrationservices for reuse in other PBGC applications as well as integration with PBGC security controls.8

Technical Reference ModelFigure 3 PBGC Integration Architecture3.1 PBGC SecurityPBGC will provide enterprise security controls that will authenticate users and authorize access tosolutions deployed at PBGC. Custom Applications must use the enterprise security solutions as theprimary mechanism for protecting the application data and services. Shared Service Providers andCOTS/GOTS products often have built-in security controls that protect the application’s information.The target architecture requires that the built-in controls connect to or be disabled in favor of the PBGCsolutions to provide access to the data and services. Physical security will be provided by PBGC forsolutions deployed on PBGC premises. Solution providers hosting PBGC data off PBGC premises mustdemonstrate that security meets federal standards and guidelines described by the National Institute ofStandards and Technology.9

Technical Reference Model3.2 Data IntegrationData integration is essential for efficient operations at PBGC. The target architecture diagram depictsthat PBGC will provide data storage and access as well as reporting and analytical services. CustomApplications must use the enterprise data storage and access constructs. Shared Service Providers andCOTS/GOTS products must provide access to their applications’ stored data either directly or throughexports, Application Programming Interfaces (APIs), or services so that PBGC can build reports andanalytics across all applications.3.3 Service IntegrationTo provide flexibility and reuse options PBGC has adopted a service-oriented approach in itsarchitecture. To support this PBGC has and will deploy service-enabling features that automateworkflow and system interfaces. All solutions deployed at PBGC must expose functionality through APIsor services where appropriate.3.4 Technology StackThrough this document, PBGC has established technology standards that must be adhered to by theinfrastructure and solutions. Where necessary, PBGC will deploy containers to host Custom Applicationsor COTS/GOTS products. All deployed solutions must be able to run on the containers provided by PBGCin accordance with the standards described by the preceding sections.10

Technical Reference Model4TRM Update ProcessTRM is a living document. It will be frequently modified to maintain clear documentation of the PBCG ITenvironments in its current state as well as to record the future technology vision for PBGC IT.There are a number of triggering events or reasons why TRM changes will be initiated: Segment Architecture recommendations and target state productsDiscovery of current state technology components missing in the TRMTechnical Review Board (TRB) decision to introduce a new technologyBusiness need not currently supported by available technologyAs determined by the Chief Enterprise ArchitectThe updates to the TRM document will be done at least quarterly as approved by the Technical ReviewBoard (TRB) or more often as authorized by the Chief Enterprise Architect.The Chief Enterprise Architect may authorize Non-Exempting of technology into TRM if providedevidence that this technology had been deployed and used in the PBGC environments before October28th, 2010 (the TRB charter approval date).The updates to the TRM are approved by the Technical Review Board (TRB). The procedure for changesin TRM or introduction of new technology into TRM is documented in the TRB Processes and Proceduresdocument (in the “Technical Standards, Technology, and Products Approval Process”).11

Technical Reference Model5 Standards ProfileThe following subsections provide details and standards for the PBGC products and technologies used ineach of the major categories, their corresponding sub-categories, and their respective IT investments.Each row in the standards tables in the following subsections represents a technology, protocol orproduct either available or considered for use in the PBGC IT environments. When known, the ITInvestment, which oversees these products throughout their lifecycle (through planning, authorizationand funding activities) is also identified. Each of these technology elements is also characterized by itsgrade and sensitivity for future updates.The technology components which are not mentioned in the TRM are not allowed in internal productionPBGC environments before due analysis and formal decision to include these technologies into the TRMare made. In this case TRM update processes must be followed to request the incorporation of thetechnology into TRM. This process is documented in section 4.When an IT Investment responsible for the introduction or maintenance of a product or technology isknown, the investment is assigned to the product or technology in the TRM as an “Owner ITInvestment”. The owner of the IT Investment oversees the assigned products and technologies in thePBGC environments by planning, funding and/or authorizing projects or activities, which: track the status of the product within the product's service lifemaintain the products, including upgrades and patchingevaluate changes to their products or technologies requested by others and provide feedback asan impacted stakeholderfollow the TRB Processes and Procedures to update TRM when the change is needed in theirproducts’ TRM entriesProject teams are urged to contact EA in the planning phase of the project to review and establishcommon understanding of the planned technology use throughout the project lifecycle. Teams are thenrequired to reconfirm the technology use plan if any change in the technology is expected.5.1 Definitions5.1.1GradesFitness and applicability of the TRM technology elements for use in PBGC systems are summarized viaone of the grades described in the table below:GradeRecommendedDescription of the grade meaningThe technology is part of the PBGC IT target state. It will be assigned to thetechnologies in the medium-to-long term to advise the development team of12

Technical Reference ModelGradeCurrent“At Risk”Restricted5.1.2Description of the grade meaningthe direction in which PBGC IT is moving and encourage planning andproactive transition to the future state. Development and implementationteams are encouraged to start using the technology (if it is already available)and sponsor implementation of the technology (if it’s not available) or includeit into their plans.The technology is part of the current PBGC technology stack. It can be used incurrently and in short-term future (up to 24 months) projects to supportfunding requests and planning decisions. If the technology categorized as“recommended” is identified for the same function, development andimplementation teams should (but not required to) start identifying themigration path from this technology to the recommended technology.The technology is currently used by the PBGC systems, but it is no longer arecommended or current technology and remains only in the systems untilthe next significant (non-maintenance) release. Thus the productdevelopment teams must identify, plan, document, and follow the migrationpath from this technology as part of the next non-maintenance release. Othersystems developers, architects, program and project managers, which do notcurrently rely on this technology, must remove “At Risk” technology fromtheir plans. The footprint of this technology in the PBGC systems mustconstantly go down.The use of this technology is limited by a set of criteria. The criteria may bedifferent for different technology items. This grade is usually used fortechnologies allowed in PBGC environment only because of their use by therecommended COTS, LOB or other external entities, or contained in the PBGCenvironment due to historical reasons (e.g., .Net stack technologies). Forexample, use of the PL/SQL as the programming language may be arequirement of the overarching COTS product and is allowed only in thecontext of that COTS product. Use of any other recommended or currenttechnology is strongly recommended. Development teams are not required tomigrate from the technology as long as their systems are allowed to use theCOTS or historical exclusions, but are not allowed to use it in any wayconflicting with the set of criteria associated with it.Update SensitivityIntroduction of new TRM technologies and updates to the exiting TRM entries are controlled by the TRBprocesses documented in the TRB procedures document.13

Technical Reference ModelTRB procedures propose a simplified process of introducing and approving updates to the existing TRMentries. It is based on the SME’s assessment of the possible impact of the TRM entry update to PBGCenvironments and business applications.TRM facilitates this simplified process by capturing and storing the SME’s impact assessment for eachTRM technology in a form of the Update Sensitivity Indicator (USI). The following table defines theallowed values of the Updated Sensitivity Indicator:USI ValueN/APart of AnotherProductCriteria for the USI valueTRM entries may be listed as N/A if they represent products or technologieswhich cannot have a next version and their upgrades are replacements withcompletely new products. Examples are monitors, printers, etc. This USI valueapplies to items that will not be subject to future versioning.TRM entry may be classified “Part of Another Product” if it is not a standaloneproduct, but is deployed as part of another product. All technologies with thisUSI are dependent on another product with regard to version upgrades andTRB reviews. The version of such a product cannot change without changes inthe version of the parent product containing it.TRM entry’s USI is “Exempt” (TRB does not need to review any upgrades inproducts) if USI values above do not apply and all of the following apply: Exempt It is a standalone system with no interface or data dependencies withother systems (e.g., utility, independent application)It is a standalone system which is not a hosting or executionenvironment of other TRM productsIt is used by a single organizational element in its processes (limitedimpact on business processes and user community)TRM entry’s USI is “Non-exempt” (all upgrades must be reviewed by TRB) ifUSI values above do not apply and any of the following apply:Non-exemptConditional TRM Entry is a standard (JMS 1.2 or JMX 1.2) or a protocol (IPv4)TRM Entry is a product directly used in mission critical processes(benefit payment cycle, benefit recalculation, premium calculation orcollection) Vendor of the product does not follow versioning rules consistently(per SME)All other TRM entries are assigned “Conditional” USI (version updates areconditionally reviewed by the TRB).14

Technical Reference ModelThe TRB Process and Procedures document provides more details on the procedures required tomaintain the USI.5.2 User SystemsUser Systems describe the technologies, standards, and products that end users use in their everydaywork. The technology in this category determines the end user’s experience and the capability to accessthe applications and peripheral hardware.RefIDCategorySub rinters11PeripheralsPrintersTechnology /Protocol /ProductHewlett-Packard(HP) Designjet4500PSHewlett-Packard(HP) Designjet5500PSEPSON Stylus Pro9800Hewlett-Packard(HP) Color LaserJet2840Hewlett-Packard(HP) Color LaserJet3550Hewlett-Packard(HP) Color LaserJet3600Hewlett-Packard(HP) Color LaserJet3800Hewlett-Packard(HP) Color LaserJet4600Hewlett-Packard(HP) Color LaserJet4650Hewlett-Packard(HP) Color LaserJet4700Hewlett-Packard(HP) Color LaserJetGradeUpdateSensitivityIndicatorOwnerAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/AAt RiskN/APBGC - ITInfrastructurePBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructure15

Technical Reference ModelRefIDCategorySub logy /Protocol /Product5550Hewlett-Packard(HP) Color LaserJet8550Hewlett-Packard(HP) Color LaserJetCP2025dnHewlett-Packard(HP) Color LaserJetCP3525Hewlett-Packard(HP) Color LaserJetCP4005Hewlett-Packard(HP) Color LaserJetCP4025dnHewlett-Packard(HP) Color LaserJetCP4520 SeriesHewlett-Packard(HP) Designjet4500PSHewlett-Packard(HP) Designjet5500PSHewlett-Packard(HP) LaserJet 2300Hewlett-Packard(HP) LaserJet 4000Hewlett-Packard(HP) LaserJet 4050Hewlett-Packard(HP) LaserJet 4250Hewlett-Packard(HP) LaserJet 5100Hewlett-Packard(HP) LaserJet 8000Hewlett-Packard(HP) LaserJet 8100Hewlett-Packard(HP) LaserJet 8150GradeUpdateSensitivityIndicatorOwnerAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureCurrentN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/APBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructure16

Technical Reference ModelRefIDCategorySub gy /Protocol rsHewlett-Packard(HP) LaserJet 9000Hewlett-Packard(HP) LaserJet 9050Hewlett-Packard(HP) LaserJetP2035Hewlett-Packard(HP) LaserJetP3005Hewlett-Packard(HP) LaserJetP4015Hewlett-Packard(HP) LaserJetP4515Ricoh Aficio MP6001CurrentConditionalPrintersRicoh RemoteOfficeXerox WorkCentre5675 v1MultifunctionSystemXerox WorkCentre5687 v1MultifunctionSystemBell HoweScanner 8090At RiskN/AAt RiskN/AAt RiskN/AFujitsu Scanner5750CAt RiskN/AFujitsu erAt RiskN/APBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructureAt RiskN/ARecommendedN/AAt RiskN/APBGC - ITInfrastructureAt RiskN/APBGC - ITInfrastructureCurrentN/APBGC - mFacilitiesServicesProgramPBGC ParticipantServices (BenefitAdministration)PBGC ParticipantServices (BenefitAdministration)PBGC ParticipantServices (Benefit17

Technical Reference nSub torMonitorMonitorMonitorMonitorMonitorTechnology /Protocol /ProductGradeUpdateSensitivityIndicatorFujitsu Scanner6770ACurrentConditionalDell Optiplex 380At RiskN/ADell Optiplex 740At RiskN/ADell Optiplex 780CurrentN/ADell OptiplexGX620Hewlett-Packard(HP) CompaqDC5850Dell Latitude 630At RiskN/AAt RiskN/AAt RiskN/ADell LatitudeE5410Dell LatitudeE6420Dell 19" Monitor1907FPCDell 19" MonitorP190SDell 19" MonitorUltraSharp 1908FPDell 20" MonitorE2009WFPDell 20" MonitorE2010HCDell 20" MonitorP2011HDell 20" MonitorUltraSharp 2009FPDell 20.1" MonitorE207WFPDell 21.5" MonitorE2211HDell 24" MonitorAt RiskN/ARecommendedN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/AAt RiskN/ACurrentN/AAt RiskN/AOwnerAdministration)PBGC ConsolidatedFinancialSystemsPBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - ITInfrastructurePBGC - IT18

Technical Reference ModelRefIDCategorySub CategoryHardwareTechnology /Protocol 11HSamsungSyncMaster 20"MonitorSamsungSyncMaster 21"Monitor 213TViewSonic 18"Monitor VG181BViewSonic 19"Monitor VG910SViewSonic 20.1"Monitor VG2021MViewSonic 20.1"Monitor VG2030mViewSonic 20.1"Monitor VP201BViewSonic 20.1"Monitor VP201sViewSonic 20.1"Monitor VP2030BViewSonic 20.1"Monitor VP2030MViewSonic 20.1"Monitor VX2000ViewSonic 21"Monitor G220FKanguru SolutionsDefender EliteKingston DataTraveler 410Freedom ScientificJAWS 8.0Auth

investment according to a Technical Reference Model. Using the TRM for these purposes allows PBGC to facilitate a strategic alignment of IT investments, while ensuring a high level of program maturity under the OMB Assessment Framework capabilities model. 1.2 Governance . The PBGC Technical Review Board (TRB) will maintain the PBGC TRM.

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