ETSI TR 102 967 V1.1.1 (2014-03)

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

DTR/RRS-03009

General Information

• Status: Published
• Publication Date: 23-Mar-2014
• Technical Committee: RRS 3 - RRS Security, Certification & Declaration of Conformity
• Current Stage: 12 - Completion
• Due Date: 27-Mar-2014
• Completion Date: 24-Mar-2014

Standards Content (Sample)

ETSI TR 102 967 V1.1.1 (2014-03)






Technical Report
Reconfigurable Radio Systems (RRS);
Use Cases for dynamic equipment reconfiguration

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2 ETSI TR 102 967 V1.1.1 (2014-03)



Reference
DTR/RRS-03009
Keywords
conformance, radio, use case
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3 ETSI TR 102 967 V1.1.1 (2014-03)
Contents
Intellectual Property Rights . 5
Foreword . 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 . 9
5.1 Stakeholders, Entities and Certificates . 10
6 Reconfiguration generic Use Cases . 12
6.1 OEM Establishing Initial Conformity of RE Platform . 13
6.2 Certificate Verification of reconfigurable equipment . 13
6.3 Establishing conformity of reconfiguration software . 14
6.4 OEM Upgrade (individual or en-masse) . 14
6.5 Third Party reconfiguration (individual or en-masse) . 15
6.6 Configuration enforcement of reconfigurable equipment . 16
6.7 RE discovery of operational database (OD) for supporting dynamic reconfiguration of equipment . 16
7 Responsibility . 17
7.1 Overview . 17
7.2 Vertical Market model . 18
7.3 Horizontal Market model . 19
7.4 Horizontal Market model with a single Contact Point . 20
7.4.1 Horizontal Market model with an independent single Contact Point . 20
7.4.2 Horizontal Market model with an independent single Contact Point and the OEM involved in the
reconfiguration . 21
7.4.3 Horizontal Market with OEM as single Contact Point . 22
7.4.4 Horizontal Market with Software Manufacturer as single Contact Point . 23
7.4.5 Horizontal Market model and labelling . 24
8 Use Cases . 25
8.1 Overview . 25
8.2 Detailed Description of Use Cases . 25
8.2.1 Use Case "OEM Establishing Initial Conformity of RE Platform" . 25
8.2.1.1 General Use Case Description. 25
8.2.1.2 Stakeholders . 25
8.2.1.3 Use Case Description . 26
8.2.1.4 Information Flow . 26
8.2.1.5 Derived potential system requirements . 26
8.2.2 Use Case "Certificate Verification of reconfigurable equipment" . 27
8.2.2.1 General Use Case Description. 27
8.2.2.2 Stakeholders . 27
8.2.2.3 Use Case Description . 27
8.2.2.4 Information Flow . 28
8.2.2.5 Derived potential system requirements . 28
8.2.3 Use Case "Establishing conformity of reconfiguration software" . 29
8.2.3.1 General Use Case Description. 29
8.2.3.2 Stakeholders . 29
8.2.3.3 Use Case Description . 29
8.2.3.4 Information Flow . 30
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4 ETSI TR 102 967 V1.1.1 (2014-03)
8.2.3.5 Derived potential system requirements . 30
8.2.4 Use Case "OEM Upgrade (individual or en-masse)" . 31
8.2.4.1 General Use Case Description. 31
8.2.4.2 Stakeholders . 31
8.2.4.3 Use Case Description . 32
8.2.4.4 Information Flow . 32
8.2.4.5 Derived potential system requirements . 33
8.2.5 Use Case "Third Party reconfiguration (individual or en-masse)" . 33
8.2.5.1 General Use Case Description. 33
8.2.5.2 Stakeholders . 34
8.2.5.3 Use Case Description . 34
8.2.5.4 Information Flow . 34
8.2.5.5 Derived potential system requirements . 35
8.2.6 Use Case "Configuration enforcement of reconfigurable equipment" . 35
8.2.6.1 General Use Case Description. 35
8.2.6.2 Stakeholders . 35
8.2.6.3 Use Case Description . 36
8.2.6.4 Information Flow . 36
8.2.6.5 Derived potential system requirements . 37
8.2.7 Use Case "RE discovery of an Operational Database (OD)" . 37
8.2.7.1 General Use Case Description. 37
8.2.7.2 Stakeholders . 37
8.2.7.3 Use Case Description . 37
8.2.7.4 Information Flow . 38
8.2.7.5 Derived potential system requirements . 38
9 Technical Challenges . 39
10 Conclusion . 39
History . 40


ETSI

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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).
ETSI

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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 certification 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.
The present document also addresses the outcome of previous work such as that carried out in Europe by the
Telecommunications Conformity Assessment and Market Surveillance Committee (TCAM) as a result of the Report
drafted by its ad-hoc group on Software Defined Radio.
While the Use Cases presented in the present document are designed to support the novel radio reconfiguration features
of the R&TTE Directive [i.2] 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
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.
2.1 Normative references
The following referenced documents are necessary for the application of the present document.
Not applicable.
2.2 Informative references
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] Directive 1999/5/EC of the European Parliament and of the Council of 9 March 1999 on radio
equipment and telecommunications terminal equipment and the mutual recognition of their
conformity.
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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 [i.1].
Operational Database Information (ODI): information held in a centralized or distributed database that may be
accessed by reconfigurable equipment during its operation and which may affect the conformity of the reconfigurable
equipment to the applicable legislation
RadioApp: 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: 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: generic term for radio systems encompassing Software Defined and/or Cognitive
Radio Systems
RRS Database Information (RDI): information held in a centralized or distributed database which is used in the
process of reconfiguration of reconfigurable equipment and which may affect the conformity of the reconfigurable
equipment to the applicable legislation
NOTE: The RDI may be used by either, or both, the reconfigurable equipment or the entity directing or verifying
the reconfiguration process.
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 [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:
CE Conformité Européenne
CoC Certificate of Conformity
CRS Cognitive Radio System
DoC Declaration of Conformity
EC European Commission
GSM Global System for Mobile Communications
HW HardWare
MNO Mobile Network Operator
NRA National Regulatory Authority
OD Operational Database
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ODI Operational Database Information
OEM Original Equipment Manufacturer
PAMR Public Access Mobile Radio
PMR Professional Mobile Radio
PPDR Public Protection and Disaster Relief
R&TTE Radio and Telecommunications Terminal Equipment
RAT Radio Access Technology
RCP Regulatory Certificate Platform
RD Reconfiguration Database
RDI RRS Database Information
RE Reconfigurable Equipment
RMP Reconfiguration Market Platform
RRS Reconfigurable Radio System
SDR Software Defined Radio
SM Software Manufacturer
SP Service Provider
SW SoftWare
TCAM Telecommunication Conformity Assessment and Market Surveillance Committee
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 that can be
reconfigured after deployment with new software remotely by automatic means and generally without detailed human
interaction. Very often such a reconfiguration may occur "over-the-air" while the reconfigurable equipment is attached
to an MNO's 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 under development in
Europe in the form of the revised R&TTE Directive [i.2]. Other regions may have specific legal frameworks for placing
on the market and/or putting into service such reconfigurable equipment.
Herein, it is assumed that methods and processes traditionally used in the context of the conformity to applicable
legislation for reconfiguring, updating or revising equipment, often involving human interactions and with the
equipment out-of-service during reconfiguration, may continue to be applied to future reconfigurations of such
equipment.
The extensions and standards for dynamically reconfigurable equipment may take into consideration the following
principles and objectives:
i) Suppliers of third party software which is intended to be installed on identified reconfigurable equipment will
ensure and declare that the resulting combination is in conformity to the applicable requirements.
ii) Suppliers of third party information, such as an operational database or a reconfiguration database, which is
intended to be used by identified reconfigurable equipment will ensure and declare that the resulting
combination is in conformity to the applicable requirements.
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. The mechanism could be based
on a form of electronic marking of the software. The electronic marking may be used to indicate that the
software has been certified for compliant operation with the equipment in question. In some cases, specialized
hardware and software may be used in order to verify the marking in a trusted way before the software is
installed.
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) Manufacturers of equipment should not be responsible for conformity and interoperability testing of third party
software or appropriate database information after initial manufacture and sale.
vi) Network operators should not be responsible for i) conformity and ii) interoperability testing and iii) accepting
all third party software or database information into their networks after initial deployment and subscription.
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vii) As reconfigured radio systems may have an impact on the radio performance of the network and as Mobile
Network Operators (MNO) are responsible for customer services and support, there is a need for MNOs to
provide and maintain information on what reconfigured mobile devices and software are used in the network
and the relevant database that declare the conformance for the combinations of reconfigurable mobile device
hardware and software. From an offline perspective, the database should include the general and MNOs
specific requirements. From an online perspective, it is necessary for the MNOs to track the potential impact to
the network of such reconfigurable equipment including mobile devices.
viii) A history file should be kept inside the dynamically reconfigurable equipment of previous reconfigurations.
This may potentially enable the equipment to go back to a previous configuration in case of interference or at
least to identify which software modifications have been brought to the equipment (so as to facilitate ex-post
equipment monitoring).
5 Stakeholders and Interrelations
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 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 certification or involve service aspects
that are new capabilities. The reconfiguration may involve not only the radio equipment, but also the associated
databases that may be involved in the operation or reconfiguration of the reconfigurable radio system. The
reconfiguration may also be performed in a regulatory domain that is different from the initial certification 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
"certification" of equipment that has been upgraded with new software or databases. 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 and the proper
legal responsibility for conformity is transferred to the new configuration providers. The software and equipment design
for the new configuration may be tested for conformity through the appropriate entities and as it is done with
non-reconfigurable equipment. 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 and to load the new certificate of
conformity to the equipment or database when it is reconfigured in the field. This newly installed certificate of
conformity becomes the basis for the continued operation of the reconfigured equipment.
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10 ETSI TR 102 967 V1.1.1 (2014-03)
Due to equipment life-times and business cycles, the reconfiguration process should accommodate reconfigurations in
which the equipment manufacturer, operator or software vendor may no longer be available to participate at the time of
recertification or reconfigurat
...