ETSI TR 102 967 V1.2.1 (2015-11)

Reconfigurable Radio Systems (RRS) ; Use cases for dynamic equipment reconfiguration

RTR/RRS-0343

General Information

• Status: Published
• Publication Date: 22-Nov-2015
• Technical Committee: RRS 3 - RRS Security, Certification & Declaration of Conformity
• Current Stage: 12 - Completion
• Due Date: 22-Oct-2015
• Completion Date: 23-Nov-2015

Standards Content (Sample)

ETSI TR 102 967 V1.2.1 (2015-11)






TECHNICAL REPORT
Reconfigurable Radio Systems (RRS) ;
Use cases for dynamic equipment reconfiguration

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2 ETSI TR 102 967 V1.2.1 (2015-11)



Reference
RTR/RRS-0343
Keywords
conformance, radio, use case
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3 ETSI TR 102 967 V1.2.1 (2015-11)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 6
3 Definitions and abbreviations . 7
3.1 Definitions . 7
3.2 Abbreviations . 7
4 Principles and Objectives for Reconfigurable Equipment . 8
5 Stakeholders and Interrelations . 10
5.0 Introduction . 10
5.1 Stakeholders, Entities and Statements of Conformity . 10
6 Reconfiguration generic Use Cases . 12
6.0 Introduction . 12
6.1 OEM Establishing Initial Conformity of RE Platform . 12
6.2 DoC/StoC Verification of reconfigurable equipment . 13
6.3 OEM Upgrade (individual or en-masse) . 13
6.4 Third Party reconfiguration (individual or en-masse) . 14
6.5 Configuration enforcement of reconfigurable equipment . 15
7 Responsibility . 15
7.1 Overview . 15
7.2 Vertical Market model . 16
7.3 Horizontal Market model . 17
7.4 Hybrid Model - Horizontal Market model with a single Contact Point. 18
7.4.0 Introduction. 18
7.4.1 Hybrid Model - Horizontal Market model with an independent single Contact Point and the OEM
involved in the reconfiguration . 18
7.4.2 Hybrid Model - Horizontal Market with OEM as single Contact Point . 18
8 Declaration of Conformity in the context of Software Reconfiguration in Europe . 20
9 Further Details on Use Cases . 20
9.0 Introduction . 20
9.1 Overview . 20
9.2 Detailed Description of Use Cases . 20
9.2.1 Use Case "OEM Establishing Initial Conformity of RE Platform" . 20
9.2.1.1 General Use Case Description. 20
9.2.1.2 Stakeholders . 20
9.2.1.3 Use Case Description . 21
9.2.1.4 Information Flow . 21
9.2.1.5 Derived potential system requirements . 21
9.2.2 Use Case "DoC/StoC Verification of reconfigurable equipment" . 21
9.2.2.1 General Use Case Description. 21
9.2.2.2 Stakeholders . 22
9.2.2.3 Use Case Description . 22
9.2.2.4 Information Flow . 22
9.2.2.5 Derived potential system requirements . 22
9.2.3 Void . 23
9.2.4 Use Case "OEM Upgrade (individual or en-masse)" . 23
9.2.4.1 General Use Case Description. 23
9.2.4.2 Stakeholders . 23
9.2.4.3 Use Case Description . 23
ETSI

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4 ETSI TR 102 967 V1.2.1 (2015-11)
9.2.4.4 Information Flow . 24
9.2.4.5 Derived potential system requirements . 24
9.2.5 Use Case "Third Party reconfiguration (individual or en-masse)" . 25
9.2.5.1 General Use Case Description. 25
9.2.5.2 Stakeholders . 25
9.2.5.3 Use Case Description . 25
9.2.5.4 Information Flow . 25
9.2.5.5 Derived potential system requirements . 26
9.2.6 Use Case "Configuration enforcement of reconfigurable equipment" . 26
9.2.6.1 General Use Case Description. 26
9.2.6.2 Stakeholders . 27
9.2.6.3 Use Case Description . 27
9.2.6.4 Information Flow . 27
9.2.6.5 Derived potential system requirements . 28
10 Technical Challenges . 28
11 Conclusion . 28
History . 29


ETSI

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5 ETSI TR 102 967 V1.2.1 (2015-11)
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 (http://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 Report (TR) has been produced by ETSI Technical Committee Reconfigurable Radio Systems (RRS).
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).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI

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6 ETSI TR 102 967 V1.2.1 (2015-11)
1 Scope
The present document outlines the Use Cases which are related to the introduction of mechanisms to enable, for
reconfigurable radio systems, the dynamic reconfiguration of equipment and its continuing conformity with the
applicable legislation. These Use Cases involve the dynamic reconfiguration of reconfigurable radio equipment after its
initial Declaration of Conformity and deployment. Such post-deployment reconfiguration will ensure the continued
conformity in the new configuration to the applicable legislation. In some Use Cases, new mechanisms that enable
reconfigurable devices to have their Declaration of Conformity dynamically verified may be introduced.
Note that the term "Declaration of Conformity" is typically used in conjunction with the European Radio Equipment
Directive. In other regulation domains, other terminology may be employed. While the Use Cases presented in the
present document are designed to support the novel radio reconfiguration features of the Radio Equipment Directive
[i.3] that is applicable in Europe, the principles and the Use Cases outlined here are not limited to Europe and may also
be appropriate for other regions.
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
reference 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
reference 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] Report Recommendation ITU-R SM.2152: "Definitions of Software Defined Radio (SDR) and
Cognitive Radio System (CRS"), 2009.
[i.2] Void.
[i.3] Directive 2014/53/EU of the European Parliament and of the Council of 16 April 2014 on the
harmonisation of the laws of the Member States relating to the making available on the market of
radio equipment and repealing Directive 1999/5/EC.
ETSI

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7 ETSI TR 102 967 V1.2.1 (2015-11)
3 Definitions and abbreviations
3.1 Definitions
For the purposes of the present document, the following terms and definitions apply:
Cognitive Radio System (CRS): Radio system employing technology that allows the system: to obtain knowledge of
its operational and geographical environment, established policies and its internal state; to dynamically and
autonomously adjust its operational parameters and protocols according to its obtained knowledge in order to achieve
predefined objectives; and to learn from the results obtained.
NOTE: This is the current definition as given in Report Recommendation ITU-R SM.2152 [i.1].
RadioApp (RA): software component to be installed and operated on reconfigurable Mobile Devices
NOTE: The operation of the software component impacts the conformity of the reconfigurable equipment to the
applicable legislation.
Reconfigurable Equipment (RE): part of a reconfigurable radio system
NOTE: The Reconfigurable Equipment is capable of being dynamically reconfigured to adapt to a wide range of
communications conditions. Such reconfiguration may include the band of operation, the radio access
technology, the associated networks and the services accessed. The reconfiguration may occur after initial
sale, deployment and operation.
Reconfigurable Radio System (RRS): generic term for radio systems encompassing Software Defined and/or
Cognitive Radio Systems
Software Defined Radio (SDR): radio transmitter and/or receiver employing a technology that allows the RF operating
parameters including, but not limited to, frequency range, modulation type, or output power to be set or altered by
software, excluding changes to operating parameters which occur during the normal pre-installed and predetermined
operation of a radio according to a system specification or standard
NOTE: This is the current definition as given in Report Recommendation ITU-R SM.2152 [i.1].
user: user of the Reconfigurable Radio System or the Reconfigurable Equipment
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CRS Cognitive Radio System
DoC Declaration of Conformity
EC European Commission
GSM Global System for Mobile Communications
HW HardWare
NRA National Regulatory Authority
OEM Original Equipment Manufacturer
PAMR Public Access Mobile Radio
PMR Professional Mobile Radio
PPDR Public Protection and Disaster Relief
RAT Radio Access Technology
RE Reconfigurable Equipment
RMP Reconfiguration Market Platform
RRS Reconfigurable Radio System
RVM Radio Virtual Machine
SDR Software Defined Radio
SM Software Manufacturer
SP Service Provider
StoC Statement of conformity
SW SoftWare
TCAM Telecommunication Conformity Assessment and Market Surveillance Committee
ETSI

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8 ETSI TR 102 967 V1.2.1 (2015-11)
4 Principles and Objectives for Reconfigurable
Equipment
The present document focuses on the Use Cases and the related procedures applicable to equipment to be placed on the
market that is able to be dynamically reconfigured. This includes, for instance, a piece of equipment for which the radio
part can be reconfigured after deployment with new software remotely. Very often such a reconfiguration may occur
"over-the-air" while the reconfigurable equipment is attached to a network. In the framework of the present document, it
is assumed that equipment reconfiguration may include software provided by third party software suppliers. A
corresponding legal framework is available in Europe under the Radio Equipment Directive (RED) [i.3]. Other regions
may have their specific legal frameworks for placing such reconfigurable equipment on the market and/or putting it into
service.
Herein, it is assumed that methods and processes traditionally used in the context of the assessment of conformity to
applicable legislation may continue to be applied.
The extensions and standards for dynamically reconfigurable equipment may take into consideration the following
principles and objectives:
i) One single entity, typically but not necessarily the Original Equipment Manufacturer, will ensure and declare
that the resulting combination of (third party) software and hardware is in conformity to the applicable
requirements.
ii) The entity responsible for the joint operation of hardware and software will provide all relevant technical
documentation on request for market surveillance (including all background information used for the DoC).
iii) A mechanism may be developed to ensure that reconfigurable equipment will only allow compliant software
to be installed and to ensure the externally verifiable integrity of the software. A mechanism may be used to
indicate that a Declaration of Conformity has been issued for the combination of the software and hardware
equipment in question.
iv) Third party software may be installed as long as the resulting combination of software and hardware is in
conformity with the appropriate applicable legislation.
v) A history file should be kept inside the dynamically reconfigurable equipment for storing information on
previous reconfigurations. This may enable the equipment to go back to a previous (stable) configuration in
case of unexpected operation (e.g. creation of interference to other users or systems) and/or to identify which
software modifications have been installed onto the equipment (so as to facilitate ex-post equipment
monitoring).
vi) Typically, a Declaration of Conformity may be issued for software and hardware components which are
available at the time of the Declaration ("Scenario 1"); additionally, depending on the applicable legislation, a
Declaration of Conformity may be issued for hardware components in combination with available software
components which can be extended for inclusion of software components to be developed in the future
("Scenario 2"). In the latter case, a future software component is typically made available together with a
"Statement of Conformity", indicating that the combination of concerned hardware and software complies with
the appropriate requirements. In Scenario 2, the Declaration of Conformity together with the appropriate
Statement of Conformity is expected to be equivalent to Scenario 1.
Scenario 2 is expected to reduce the administrative overhead for the responsible entity (typically the Original
Equipment Manufacturer), while the legal result would be the same as in Scenario 1. It still needs to be
verified whether:
i) Scenario 2 is finally meeting its objectives; and
ii) be acceptable from a legal perspective.
ETSI

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9 ETSI TR 102 967 V1.2.1 (2015-11)
Figure 1 positions the application of Scenario 1 and Scenario 2 with respect to the verification needs of an equipment
after Software Reconfiguration. Scenario 2 is an alternative to Scenario 1, especially in the case of a very limited access
to radio parameters for (third party) software developers - the latter can be addressed by an Radio Virtual Machine
(RVM) approach enabling the management of various levels of access to Radio Parameters by Software Components.
Finally, together with the limited effort required for verification (i.e. only those test-cases need to be executed which are
affected by the reconfiguration), a less complex assessment procedure might be possible.

Figure 1: Scenario 1 and Scenario 2 Declaration of Conformity.
Figure 2 highlights that both Scenario 1 and Scenario 2 based Declaration of Conformity lead to an identical situation,
i.e. the Declaration of Conformity is finally covering the concerned combination of hardware and software after the
Reconfiguration process.

Figure 2: Identical situation for Scenario 1 and Scenario 2 Declaration of Conformity.
ETSI

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10 ETSI TR 102 967 V1.2.1 (2015-11)
5 Stakeholders and Interrelations
5.0 Introduction
The ability to dynamically reconfigure equipment throughout its lifetime is important to enable the rapid and
economical upgrading of equipment after initial deployment while at the same time assuring the continued conformity
to all the applicable rules and the applicable legislation. It is through providing a climate of dynamic re-configurability
that the economic benefits of Cognitive Radio Systems technology and rapid deployment of new innovative
reconfigurable radio systems will be fostered. Such re-configurability will enable systems to be designed for the future
and to take advantage of new technology and regulatory developments.
However, while it is important that the dynamic reconfiguration process does not hinder the development of new
systems, the process should accommodate a wide variety of equipment, be sustainable over decades of regulatory
control, be legally sound and be proof against both innocent misuse and malevolent perversion. In some cases, the new
Declaration of Conformity may cover regulations that were not in effect at the time of original Declaration of
Conformity or involve service aspects that are new capabilities. The reconfiguration may also be performed in a
regulatory domain that is different from the initial Declaration of Conformity domain and the reconfiguration may
affect features that may be regulated differently in different regulatory domains. It can be anticipated, for example, that
in a first phase reconfiguration features are likely to be used only within a single regulatory domain. At a later time, the
features could be extended to multiple regulatory domains as needed.
It should be understood that the Use Cases discussed in the present document are not about the conformity testing or
"Declaration of Conformity" of equipment that has been upgraded with new software. All upgrades should first be
verified by their developers using testing processes that are already established within the industry that conform to the
applicable legislation. The reconfiguration Use Cases that are the subject of the present document address the process of
assuring that new configurations for reconfigurable equipment are properly and appropriately loaded. The software and
equipment design for the new configuration may be tested for conformity through the appropriate entities. Once the
conformity testing of the new configuration is successful and a new Declaration of Conformity for the new
configuration is issued, the reconfiguration process that is the subject of the Use Cases in the present document may be
used to dynamically reconfigure the equipment.
Reconfigurations may involve many layers of software or hardware, and some reconfigurations may rely on presumed
operation of previously established configurations. Also, due to the large volumes of deployments of consumer devices,
the reconfiguration process should be scalable to accommodate (literally) billions of deployed devices and a similar
number of possible new configurations.
This introductory clause outlines key stakeholders and key concepts for dynamically reconfiguring equipment while
ensuring its continued conformity/compliance to/with applicable legislation and standards. One of the purposes of the
present document is to enumerate some of the practical and technical Use Cases that should be accommodated by the
dynamic reconfiguration process. For example, due to the equipment long life-cycles, the configuration process requires
care and caution in its design to prevent failures or malevolent perversion. Furthermore, security requirements for the
reconfigurable equipment should be considered to ensure trustworthy operation.
5.1 Stakeholders, Entities and Statements of Conformity
This clause lists and briefly describes the Stakeholders ([S]) and Entities ([E]) involved in the illustrated reconfiguration
Use Cases as well as the "Statement of Conformity"([StoC]).
Note that the requirement for some or all of the below mentioned entities depends on the implementation of the
reconfiguration framework. In particular a first implementation of the software reconfiguration fra
...