ETSI TS 103 424 V1.1.1 (2016-11)

Publicly Available Specification (PAS); Smart Machine-to-Machine communications (SmartM2M) Home Gateway Initiative RD036-Smart Home architecture and system requirements

DTS/SmartM2M-103424

General Information

• Status: Published
• Publication Date: 07-Nov-2016
• Technical Committee: SmartM2M - Smart M2M
• Current Stage: 12 - Completion
• Due Date: 14-Nov-2016
• Completion Date: 08-Nov-2016

Standards Content (Sample)

ETSI TS 103 424 V1.1.1 (2016-11)






TECHNICAL SPECIFICATION
Publicly Available Specification (PAS);
Smart Machine-to-Machine communications (SmartM2M)
Home Gateway Initiative RD036-Smart Home architecture and
system requirements
CAUTION

The present document has been submitted to ETSI as a PAS produced by HGI and
approved by the ETSI Technical Committee Smart Machine-to-Machine communications (SmartM2M).
HGI was owner of the copyright of the document (RD036) and/or had all relevant rights and had assigned said rights to ETSI on
an "as is basis". Consequently, to the fullest extent permitted by law, ETSI disclaims all warranties whether express, implied,
statutory or otherwise including but not limited to merchantability, non-infringement of any intellectual property rights of third
parties. No warranty is given about the accuracy and the completeness of the content of the present document.

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2 ETSI TS 103 424 V1.1.1 (2016-11)



Reference
DTS/smartM2M-103424
Keywords
gateway, home gateway, intelligent home &
buildings

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ETSI

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3 ETSI TS 103 424 V1.1.1 (2016-11)
Contents
Foreword . 4
Modal verbs terminology . 4
1 Scope . 5
2 References . 5
2.1 Normative references . 5
2.2 Informative references . 5
3 Definitions, symbols and abbreviations . 6
3.1 Definitions . 6
3.2 Abbreviations . 7
3.3 Relationship with other HGI Specifications . 7
4 Business requirements and Use Cases . 8
5 Architecture . 8
6 Overview . 8
6.1 High-level view of smart home architecture . 9
7 HG with specific software execution environment (Open Platform 2.0) . 12
7.1 Detailed HG software stack architecture . 13
7.2 Access Control and Policies . 14
7.3 Appliance States . 15
7.4 Grouping of Appliances . 16
8 Functional requirements . 17
8.1 Requirements for RP1 Device Abstraction Layer . 17
8.2 Requirements for RP1 Access Control . 18
8.3 Requirements for DAL . 18
8.4 Requirements for RP2 Appliance Driver Interface . 18
8.5 Requirements for RP4 Remote Representation . 19
8.6 Requirements for RP5 Local representation of appliances . 20
8.7 Requirements for RP6 Native Driver Interface . 20
8.8 Requirements for RP7 Reference point in the cloud . 20
8.9 Requirements for RP8 WAN Network Connectivity Interface . 20
History . 21

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4 ETSI TS 103 424 V1.1.1 (2016-11)
Intellectual Property Rights
IPRs essential or potentially essential to the present document may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (https://ipr.etsi.org/).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Foreword
This Technical Specification (TS) has been produced by ETSI Technical Committee Smart Machine-to-Machine
communications (SmartM2M), as result of the PAS process for document HGI-RD036 developed by the Home
Gateway Initiative.
The Home Gateway Initiative, a non-profit organization closed on June 2016, produced guidelines, requirements
documents, white papers, vision papers, test plans and other documents concerning broadband equipment and services
which are deployed in the home.
HGI worked on Specifications for home connectivity and Services enablement, in particular to encompass a delivery
framework for Smart Home services. The defined architecture includes support for a standard, general purpose software
execution environment in the HG (for third party applications), API definitions, device abstraction and interfacing with
Cloud based platforms.
The HGI's methodology ensured that projects undertaken reflected items of strong interest to the Broadband Service
Providers (BSPs), as well as brought in opportunities at every stage for vendor input, suggestions and participation.
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).

ETSI

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5 ETSI TS 103 424 V1.1.1 (2016-11)
1 Scope
The rapid increase in the number of smart devices in the home, from entertainment systems to appliances and medical
devices and the now near ubiquitous broadband connectivity have created a significant new potential market for service
providers. However, in order to exploit this market and provide an integrated customer experience there is a central
component which is still missing - a set of standards for the home gateway which will enable interoperability between
smart home entities.
Defining smart home related standards for the home gateway can benefit the market in several ways:
• Avoiding duplication of hardware and software and the associated costs of having several disparate systems.
• Providing opportunities for new 'blended' services based on combining data from different HANs and
appliances.
• Enabling automated, intelligent reaction to the environment - e.g. demand-side energy management.
The present document defines a smart home system architecture and derives requirements for the Home Gateway.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
http://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
Not applicable.
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] ETSI TS 103 426 (11-2016): "Publicly Available Specification (PAS); Smart Machine-to-Machine
communications (SmartM2M) Home Gateway Initiative RD048-HG Requirements For HGI Open
Platform 2.1".
[i.2] ETSI TS 103 425 (11-2016): "Publicly Available Specification (PAS); Smart Machine-to-Machine
communications (SmartM2M) Home Gateway Initiative RD039-Requirements for Wireless Home
Area Networks (WHANs) Supporting Smart Home Services".
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6 ETSI TS 103 424 V1.1.1 (2016-11)
[i.3] HGI GD-017-R3 (August 2011): "Use Cases and Architecture for a Home Energy Management
Service".
NOTE http://www.homegatewayinitiative.org/userfiles/file/downloads/GD-017-R3_use-cases-and-architecture-
for-home-energy-Management-service.pdf.
[i.4] HGI-GWD035: "Smart Home Use Cases".
NOTE: www.homegateway.org
[i.5] ISO/IEC FDIS 15067-3: "Home Electronic System (HES) application model - Part 3: Model of a
demand-response energy management system for HES".
NOTE: http://www.iso.org
[i.6] HGI-RD044 Home Gateway Base Requirements: "Residential Profile 2".
NOTE: http://www.homegatewayinitiative.org/userfiles/file/downloads/P_HGI02723R11.pdf
[i.7] Void.
[i.8] "OSGi Service Platform Core Specification", Release 4, Version 4.2 or later.
NOTE: www.osgi.org
[i.9] HGI-RWD016-R3 (April, 2013): "HG and Home Network Diagnostics Module Requirements".
NOTE: http://www.homegatewayinitiative.org/userfiles/file/downloads/HGI-RD016_HG-Home-Network-Diag-
Modul-Req.pdf.
[i.10] "Echonet Lite".
NOTE: https://echonet.jp/spec_v112_lite_en/
[i.11] "Zigbee™".
NOTE: http://www.zigbee.org/zigbee-for-developers/applicationstandards/zigbeehomeautomation/.
[i.12] "EnOcean".
NOTE: http://www.enocean-alliance.org/en/enocean_standard/.
[i.13] "DECT Ultra-Low-Energy (ULE)".
NOTE: http://www.ulealliance.org/specifications.
[i.14] Void.
[i.15] Void.
[i.16] IEEE 802.11™: "Wireless LANs".
3 Definitions, symbols and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in Open Platform 2.0 [i.1] and the following
apply:
action: A function that can be executed by an appliance.
appliance: A domestic electrical/mechanical machine which accomplishes some function used in smart home services.
data point: A property of an appliance, which can change while the appliance is in operation.
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7 ETSI TS 103 424 V1.1.1 (2016-11)
Home Gateway (HG): Device connecting the HAN to the Internet, Operator Platform and Service Platforms.
Smart Home Functions: Hardware/software implementing smart home functionality, which is typically part of the HG
but could in some cases be implemented in a separate piece of hardware.
virtual appliance: An appliance implemented purely in software.
reference point: A point of interaction between two entities, which may be subject to standardization e.g. in the form
of an API or protocol.
module: A Service Module (or just module) is a downloadable, packaged collection of resources and/or code needed to
provide a specific function.
Service Application: Is a set of software modules and configurations that collectively implement a specific function or
set of functions, possibly across several distributed platforms.
Service Provider: Is a business entity. The Service Provider supplies the necessary means to provide the business
related support of a specific Service Application.
Network Provider: Provides and manages wide area network connectivity between the Service Platform and other
parties, which include the Gateway Operator and other Service Providers. In the case where the Service Platform is
connected via the Internet, the Network Provider also supplies the Internet Service Provider (ISP) functionality.
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
AAL Ambient Assisted Living
NOTE: Home automation to assist aged/infirm persons.
API Application Program Interface
CPE Consumer Premises Equipment
CWMP CPE WAN Management Protocol
DAL Device Abstraction Layer
HAN Home Area Network
HG Home Gateway
HGI Home Gateway Initiative
IP Internet Protocol
IPR Intellectual Property Rights
ISP Internet Service Provider
LAN Local Area Network
NTP Network Time Protocol
OS Operating System
OSGi OSGi Alliance
RP Reference Point
SDT Smart Device Template
NOTE: A HGI term related to appliance function modelling.
ULE Ultra Low Energy
WAN Wide Area Network
3.3 Relationship with other HGI Specifications
The present document contains requirements over and above those in the HGI Residential Profile [i.6], Open
Platform 2.0 [i.5] and Wireless HAN Services [i.2]. All the requirements of those documents still apply, except that
support of Open Platform 2.0 is only mandatory with regard to clause 5.3 "HG with specific Software Execution
Environment (Open Platform 2.0)".
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8 ETSI TS 103 424 V1.1.1 (2016-11)
Note that the Energy Gateway mentioned in Figure 7 of the HGI Energy Management document [i.3] is one of the
possible appliances in the home network
4 Business requirements and Use Cases
The business requirements and use cases used as the basis for the architecture described in the present document are
described in [i.4].
5 Architecture
The architecture is described first in terms of the entities and interfaces of the smart home eco-system and then in terms
of the software execution environment within the HG. There is a particular focus on the Device Abstraction Layer
(DAL) which mediates between high-level applications and the specific local area network protocols and technologies
in the home network.
The following reference points in the architecture are explained in more detail in the following sections, but brief
definitions are given in table 1 for convenience.
Table 1: Overview of Reference Points
RP Number Reference Point Description
RP1 A common representation of and unified APIs to control and query, home appliances (in the software
execution environment)
RP2 The reference point between the appliance drivers for various HAN technologies and the device abstraction
layer
RP3 (RP3 is a reference point which no longer features in this architecture, but the notation is retained for
historical reasons)
RP4
A common representation of and control over home appliances in the local network for access by the
Operator Platform via a remote-access protocol
RP5 Support for local clients to communicate with the HG to access home appliances
RP6
The reference point for the native drivers towards the smart home software
RP7 Reference point in the cloud between an Operator Platform and Cloud Service Applications
RP8 A description of the WAN connection(s) on the HG is available at this Reference Point
RP9 The Home Area Network (HAN) physical interface to appliances

6 Overview
In the HGI context, the Home Gateway is considered to be the heart of the smart home - it connects and controls the
home appliances and serves as the main entry point for communication with the operators, service providers and
utilities in the cloud. The end user has access to their services in the home either via the cloud or through a direct
connection to the HG. This is illustrated in Figure 1.
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9 ETSI TS 103 424 V1.1.1 (2016-11)
Service
Application
Platform
Internet
Operator
Platform
WAN WAN
WAN
Home
Gateway
LAN
Tablet/PC/SmartPhone
Router Smart Home
inside the home
Functions
HAN
smoke detector motion detector motion detector video cam unfreeze detectorOverflow detector thermometer siren

Figure 1: HGI smart home architecture
The present document does not specify functionality to support direct connections between the Service Application
Platform and the HG or home PCs/tablets (shown by dotted lines in figure 1) for appliance access, but such connections
are not precluded.
Note that figure 1 indicates that the Home Gateway itself may be implemented in more than one software and/or
hardware entity, for example in a router and in a separate piece of equipment containing the smart home software
functionality described within the present document.
6.1 High-level view of smart home architecture
Figure 2 shows a schematic view of the high level entities and reference points of the HGI smart home architecture.
This Figure depicts the smart home functions as a black box, deferring the discussion of the way in which remote
requests from WAN or LAN side clients are translated to actions on smart home appliances. Only the external reference
points are shown in Figure 2.
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10 ETSI TS 103 424 V1.1.1 (2016-11)
Operator
Service Application
RP7
Platform (cloud )
local clients
IP based connections
w/ proprietary payload
RP4
RP5
Adapter for REMOTE Adapter for LOCAL
representation representation
Smart Home Software
and HG Core Software
RP6
Native
Drivers
HG Core
(OS/drivers)
HG Software Stack
connection over built-in
connection over IP and/or Ethernet
or attached interfaces
RP9
RP9
Appliances Appliances

Figure 2: Reference points between the HG software and
software in the Cloud or local client software
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11 ETSI TS 103 424 V1.1.1 (2016-11)
Figure 2 refers to the following entities:
Table 2: Software and hardware elements in figure 2
Entity Name Description
Operator Platform Service delivery platform for smart home services. Functionality includes
gateway management, software management for the gateway, remote access
from cloud service applications to the gateway, rule engines for home
automation and other services.
Service Application (cloud) Service application software may be distributed over several locations: parts
may run in the cloud, others on the gateway. User interfaces may run on
smartphones and/or tablets.
Local clients Local client software, running on for example tablets or smartphones, interfacing
directly with the HG over a local network to provide functionality for the user,
mainly presentation of user interfaces.
HG Software Stack This is the entire software running on an HG, including boot loaders, current and
backup firmware images, secure storage, the operating system, an execution
environment (e.g. Open Platform 2.0 [i.5] and any dynamically loaded software
rd
modules (e.g. 3 Party services).
Smart Home Software Software running on the operating system of the HG, which together with the HG
Core Software provides the means for the user to access and/or automate the
use of equipment within the home and for remote access by the user and/or
applications in the Cloud.
HG Core Software Definition taken from [i.1] : The HG_Core uses an operating system (OS). On
this operating system runs the HG native software that provides some or all of
the home gateway functions as defined in the HGI Residential Profile [i.6]. Native
drivers give direct access to hardware modules. The combination of the home
gateway hardware, operating system, HG native software and drivers constitutes
the HG_Core.

Figure 2 also shows the following reference points for external interfaces:
Table 3: Reference points for external interfaces
RP Name Description
RP4 Remote representation of appliances in Representation of appliances in the home network for access by the
the home Operator Platform over a remote access protocol. It also provides access
to, or pushes information about, local events from the HG software stack
to the operator platform.
RP5 Local representation of appliances Support for local clients to communicate with the HG to access home
in the home appliances. Not elaborated in the present document.
RP7 Reference Point in the cloud Reference point between an Operator Platform and Service Applications
in the Cloud.
RP9 Physical Appliance Interface The home area network (HAN) physical interface to appliances e.g.
EchonetLite™ [i.10], ZigBee™ [i.11], EnOcean™ [i.12], IEEE 802.11™
[i.16], BlueTooth™, DECT ULE [i.13], etc.

The HG is shown above as a blackbox mediating between the appliances (accessible over RP9) and the environment.
Appliances are represented over RP4 to the Operator Platform, which can control them and can also provide this
representation to other parties inside the cloud (for example to service providers) over RP7. Cloud applications can also
have direct communication with software on the HG, if allowed by the operator policy, but this communication is
proprietary and out of scope for HGI.
The HG can also provide access and control of appliances over RP5 for local clients in the home network (e.g. smart
phones, tablets or PCs showing a local home portal for the user). Such functionality will not be elaborated in the present
document.
Note that in addition to (hardware) appliances there can also be virtual appliances within the smart home software stack,
visible through RP4 and/or RP5 (see also RP2 in clause 5.4), which represent some functionality without requiring a
hardware component. Examples of such virtual appliances are a weather station module that takes its data from the
internet, or a clock which synchronizes with an NTP server. Both hardware appliances and virtual appliances are
represented in the same way through the reference points and can be visualized, controlled or included in automation
rules in the same way.
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12 ETSI TS 103 424 V1.1.1 (2016-11)
7 HG with specific software execution environment
(Open Platform 2.0)
NOTE: From this point, details can only be discussed in terms of a specific software environment.
For the remainder of the document, the HGI Open Platform 2.0 environment is assumed.

The relationship of the smart home software to the execution environment on the HG is shown in the figure 3.
Operator
Service Application
RP7
(cloud)
Platform
local clients
IP based connections
w/ proprietary payload
RP4
RP5
Adapter for REMOTE Adapter for LOCAL
representation representation
Smart Home Software
RP6
Native
Drivers
HG Core
(OS/drivers)
HG Software Stack
connection over built-in
connection over Ethernet/IP
or attached interfaces
RP9 RP9
Appliances
Appliances

Figure 3: Architecture showing native drivers
In Figure 3, the following entities are added:
Table 4: Software entities within the HG Software Stack
Entity Name Description
Native Drivers A native driver is a piece of software that runs on the OS of the HG and provides an OS
accessible interface to one or more hardware entities over specific home area network
protocols.
HG Core The HG Core is defined in ETSI TS 103 426 [i.1]

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HOME NETWORK WAN

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13 ETSI TS 103 424 V1.1.1 (2016-11)
Figure 3 also introduces the following new reference point:
Table 5: Definition of RP6 within the HG Software Stack
RP Name Description
RP6 Native Driver Interface Represents the interface of the native drivers towards the smart home software.

7.1 Detailed HG software stack architecture
A more detailed view of the HG shows the software modules within the smart home software, including the reference
points RP1, RP2 and RP8. The general requirements on the HG software stack (modularity, rights management, etc.)
are explained in ETSI TS 103 426 [i.1].
Operator
Service Application
RP7
(REMOTE)
Platform
local clients
IP based connections
w/ proprietary payload
RP 4
RP 5
Adapters for REMOTE Adapters for LOCAL
WAN Network
representation representation Connectivity Mgt
RP 8
Service
Application
(LO C AL )
RP1
Device Abstraction Layer
RP 2 RP2
Appliance Virtual
Drivers Appliance
Driver
Smart Home Software
on Open Platform 2.0
RP 6
Native
Drivers
HG Core
(OS/drivers)
HG Software Stack
connection over built-in
RP 9 RP9 connection over Ethernet/IP
or attached interfaces
Appliances Appliances

Figure 4: Architecture showing also reference points within the HG Software Stack
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14 ETSI TS 103 424 V1.1.1 (2016-11)
Open Platform 2.0 based implementations contain the following entities:
Table 6: Definition of elements within the HG Software Stack
Name Description
Open Platform Open Platform 2.0 is an HGI concept for a protected, isolated software runtime
environment on an HG where software modules can be installed and executed,
as specified in [i.1]. The HG internal software architecture depicted in this
architecture specification is based on OP2.0.
Appliance Drivers Appliance Drivers provide the interfaces for technology specific HAN interfaces.
This document does not define or constrain in any way the underlying device
model(s) used by the HAN interfaces.
Virtual Appliance Driver The virtual appliance driver uses the same RP (RP2) as the Appliance Drivers
in order to represent virtual appliances in the Devic
...