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98d280e9ebdd62e62b9d51749d594208 | 32.111 | 4.1.5 Storage and retrieval of alarms in/from the NE | For fault management purposes, each NE will have to store and retain the following information:
• a list of all active alarms, i.e. all alarms that have not yet been cleared; and
• alarm history information, i.e. all notifications related to the occurrence and clearing of alarms.
The storage space for alarm history in the NE will be limited. Therefore it shall be organised as a circular buffer, i.e. the oldest data item(s) shall be overwritten by new data if the buffer is full. Further "buffer full" behaviours, e.g. those defined in [11], may be implemented as an option. The storage capacity itself, and thus the duration for which the data can be retained, will be Operator and implementation dependent. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 4.1.6 Fault Recovery | After a fault has been detected and the replaceable faulty units have been identified, some management functions are necessary in order to perform system recovery and/or restoration, either automatically by the NE and/or the EM, or manually by the operator.
The fault recovery functions are used in various phases of the fault management:
1) Once a fault has been detected, the NE shall be able to evaluate the effect of the fault on the telecommunication services and autonomously take recovery actions in order to minimise service degradation or disruption.
2) Once the faulty unit(s) has (have) been replaced or repaired, it shall be possible from the EM to put the previously faulty unit(s) back into service so that normal operation is restored. This transition should be done in such a way that the currently provided telecommunication services are not, or only minimally, disturbed.
3) At any time the NE shall be able to perform recovery actions if requested by the operator. The operator may have several reasons to require such actions; e.g. he has deduced a faulty condition by analysing and correlating alarm reports, or he wants to verify that the NE is capable of performing the recovery actions (proactive maintenance).
The recovery actions that the NE performs (autonomously or on demand) in case of faults depend on the nature and severity of the faults, on the hardware and software capabilities of the NE and on the current configuration of the NE.
Faults are distinguished in two categories: software faults and hardware faults. In the case of software faults, depending on the severity of the fault, the recovery actions may be system initialisations (at different levels), activation of a backup software load, activation of a fallback software load, download of a software unit etc. In the case of hardware faults, the recovery actions depend on the existence and type of redundant (i.e. back-up) resources. Redundancy of some resources may be provided in the NE in order to achieve fault tolerance and to improve system availability.
If the faulty resource has no redundancy, the recovery actions shall be:
a) Isolate and remove from service the faulty resource so that it cannot disturb other working resources;
b) Remove from service the physical and functional resources (if any) which are dependent on the faulty one. This prevents the propagation of the fault effects to other fault-free resources;
c) State management related activities for the faulty resource and other affected/dependent resources, cf. subclause 4.2;
d) Generate and forward appropriate notifications to inform the OS about all the changes performed.
If the faulty resource has redundancy, the NE shall perform action a), c) and d) above and, in addition, the recovery sequence that is specific to that type of redundancy. Several types of redundancy exist (e.g. hot standby, cold standby, duplex, symmetric/asymmetric, N plus one or N plus K redundancy, etc.), and for each one, there is a specific sequence of actions to be performed in case of failure. The present document specifies the Fault Management aspects of the redundancies, but it does not define the specific recovery sequences of the redundancy types.
In the case of a failure of a resource providing service, the recovery sequence shall start immediately. Before or during the changeover, a temporary and limited loss of service shall be acceptable. In the case of a management command, the NE should perform the changeover without degradation of the telecommunication services.
The management of the redundancies is strictly related to the way they are modelled in the MIM of the NE. For the modelling of the redundancies, the relationships shall be defined among the objects, which participate in each redundancy. This will identify the objects and the roles that they have in the redundancy. By defining the relationships, also the role of the objects participating in the relationships are implicitly defined by the relationships’ attribute values.
The NE shall provide the OS with the capability to monitor and control any redundancy of the NE. The control of a redundancy by the OS (which means the capability to trigger a changeover or a change-back) can be achieved by means of state management, cf. subclause 4.2.
If a fault causes the interruption of ongoing calls, then the interrupted calls shall be cleared, i.e. all resources allocated to these calls shall immediately be released by the system. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 4.1.7 Support of Maintenance Action | |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 4.1.8 Configuration of Alarms | |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 4.2 State management | The State Management is a common service defined within Configuration Management (TS 32.106) and used by several management areas, including Fault Management. In this clause, some detailed requirements on State Management as they apply to the Fault Management are defined.
From the point of view of Fault Management, only two of the three primary state attributes are really important: the Administrative state and the Operational state. In addition the resources may have some secondary ‘status’ attributes which give further detailed information about the reason of the primary state.
The Administrative state is used by the Operator to make a resource available for service, or to remove a resource from service. For example:
• for fault correction the Administrative state can be used to isolate a faulty resource;
• in case of redundancy the Administrative state can be used to lock the active resource and let the standby resource to become active (preventive maintenance);
• for Test management the Administrative state can be used to put a resource out of service to run an intrusive test on it.
The Operational state gives the information about the real capability of a resource to provide or not provide service.
• The operational state is "enabled" when the resource is able to provide service, "disabled" when the resource cannot provide service.
• A resource can lose the capability to provide service because of a fault or because another resource on which it depends is out of service (e.g. disabled or locked).
• In case a resource does not loose completely its capability to provide service, the Operational state shall be "enabled" and the Availability status shall be "degraded".
The changes of the state and status attributes of a resource must be notified to the relative manager(s) as specified in TS 32.106.
When a state change is originated by a failure, the alarm notification and the related state change notifications must be correlated to each other by means of explicit relationship information. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 4.2.1 Propagation of state change | Within a managed element, when for any reason a resource changes its state, the change must be propagated, in a consistent way, to all the other resources that are functionally dependent on the first one. Therefore:
• In case of a fault occurring on a resource makes that resource completely out of service, if the current operational state is "enabled", it shall be changed to "disabled" and a state change notification shall be generated. Then, all the dependant resources (following the fault dependency diagram specific to that managed element) must be checked and, in case they are "enabled" they shall be changed to "disabled". In this process, also the secondary status must be changed consistently, in a way that it shall be possible to distinguish whether an object is disabled because it is faulty or because of it is functionally dependent on another object which is disabled.
• In case a faulty resource is repaired, the Operational state of that resource is changed from "disabled" to "enabled" and all the dependent resources are turned back to "enabled" (this is the simple case). In more complex cases, some of the objects may be disabled for different causes (different faults or faults plus locks on different superior resources), in this cases the repaired resource can be turned "enabled" only when all the causes are cleared (i.e. faults are repaired and superior resources are unlocked). Also in this process the secondary status must be changed consistently.
• In case the operator locks a resource, the process of the state change propagation is similar to the first case (resource failure) except for the locked resource which does not change its operational state but only the administrative state from "unlocked" to "locked". The dependent resources are processed as in the first case.
• In case the operator unlocks a resource, the process of the state change propagation is similar to the second case (fault reparation) except for the first resource (the unlocked one) which does not change its operational state but only the administrative state from "locked" to "unlocked". The dependent resources are processed as in the first case. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 4.3 Test management | x Fault management requirements
This clause defines the FM requirements from the OS's perspective. According to the concept described in clause 4, the NEs shall maintain alarm and state change information. This information shall then be forwarded to one or more OS(s), i.e. the OMC and/or NMC. The OMC's role to play in this environment depends on implementation options chosen by the vendor and the network operator.
• The NMC interface (cf. clause 8) may be implemented in the NEs or the OMC. This means that the OMC may not be involved in the forwarding of alarm and state information to the NMC, if the NMC interface is implemented in the NE. In contrast, the OMC may have to act as a mediation device if the interface to the NMC is implemented in the OMC and the interface between OMC and the NEs uses a different (proprietary) technology.
• The network operator may choose to operate his network, in terms of FM, mainly from the NMC. This implies that functions for the forwarding and retrieval of alarms and states as well as the processing and user interface presentation of this information may not be required in the OMC, but the NMC. As a consequence, all of these functions, as described in the following subclauses, are optional in the OMC, which means they may or may not be implemented, but if implemented, they shall comply with the present document. Details of these considerations are a matter of vendor/operator agreement.
x.y Alarm and state management
x.y.z Alarm/state change forwarding and filtering
Alarm and state change events shall be forwarded by the NE, in the form of unsolicited notifications, according to the following scheme:
• as soon as an alarm is entered into or removed from the pending alarms list;
• immediately when an operational state change event is recorded in the NE.
If forwarding is not possible at this time, e.g. due to communication breakdown, then the notifications shall be sent as soon as the communication capability has been restored.
If the NMC interface is implemented in the NE, then the destination of the notifications is the NMC, and the interface shall comply with the stipulations made in clause 8. If the NMC interface resides in the OMC, proprietary means may be employed to forward the notifications to the OMC. Note that, even if the NMC interface is implemented in the NE, the OMC may still also receive the notifications by one of the above mechanisms, however, the present document does not explicitly require the NEs to support the OMC as a second destination.
The event report shall include all information defined for the respective event (cf. subclauses 4.1.2, 4.1.3 and 4.1.4), plus an identification of the NE that generated the report. This NE identification shall be identical to the identifiers defined within the CM domain, see [1].
The system operator shall be able to allow or suppress alarm reporting by the NE. As a minimum, the following criteria shall be supported for alarm filtering:
• the NE that generated the alarm, i.e. all alarm messages of that NE will be suppressed;
• the device/resource/function to which the alarm relates;
• the severity of the alarm, except "clear". Suppression of alarm clear messages shall be determined according to the following stipulations:
• if the initial alarm was not suppressed, then the alarm cleared message shall also be forwarded;
• if the initial alarm was suppressed, then the criteria set for alarm suppression at the time the cleared message occurs shall be taken into account;
• the time at which the alarm was detected, i.e. the alarm time; and,
• any combination of the above criteria.
The same functionality and criteria, as far as applicable, shall also be available for state changes, as follows:
• the NE that generated the state change event, i.e. all state change messages of that NE will be suppressed;
• the device/resource/function to which the state change relates;
• the time at which the state change occurred; and,
• any combination of the above criteria.
The result of any command to modify the forwarding criteria shall be confirmed by the NE to the requesting operator.
x.y.z Retrieval of alarm and state information
The NEs shall offer a facility for an OS to retrieve alarm and operational state information stored in the NE (cf. subclause 4.1.5). If the interface to the NMC is implemented in the NEs, then this facility shall be implemented according to the stipulations given in clause 8. If the NMC interface resides in the OMC, then proprietary means may be employed on the NE-OMC interface, however, a bulk data retrieval based on existing protocols, such as FTP, TFTP, or FTAM, is anticipated. Note that either of the two above mechanisms may still be used by the OMC even if the NMC interface resides in the NEs.
The alarm retrieval facility shall entail the following features:
• read alarms from the alarm history;
• read state changes from the state change history;
• retrieve the pending alarms from the NE; and
• read current values of the operational state.
It shall be possible to apply filters to each of the above operations as defined in subclause 5.1.1, plus the "cleared" alarm severity level.
x.y.z Support of Maintenance Action
In order to facilitate maintenance of the network, the system shall support the following OMC commands:
• request isolation of device for maintenance. Ongoing calls shall be allowed to be terminated by the users.
• request clearing of calls for maintenance. This will isolate the device addressed by the command, and ongoing calls using the device will be cleared.
• clear device from control channels (Node B - per channel, per carrier, per cell). It shall be possible to specify an alternate device to take over the channel(s), otherwise automatic reconfiguration shall be performed.
• establish priorities for automatic reconfiguration. This will force the NE's automatic reconfiguration after a fault to follow a scheme predefined by the system operator.
The NE shall confirm the result of the command to the requesting system operator.
x.y.z Configuration of Alarms
It shall be possible to configure the alarm actions, thresholds and severities through OMC commands, according to the following requirements:
• upon detection of a fault, certain actions will be carried out by the NE, e.g. putting the defective device/resource/function out of service. It shall be possible to change these activities for each individual fault.
• the operator shall be able to configure any threshold that determines the declaration or clearing of a fault. If a series of thresholds are defined to generate alarms of various severities, then for each alarm severity the threshold values shall be configurable individually.
• it shall be possible to modify, in the NE, the severity of each alarm defined in the system, e.g. from major to critical.
The NE shall confirm the result of any such alarm configuration command to the requesting system operator.
x.y.z Communication failure
If forwarding of alarms or state change events by a NE is not possible due to communication breakdown, then the notifications shall be sent as soon as the communication capability has been restored. The recipient of the notifications, i.e. the OMC and/or NMC, shall notice the communication failure and generate appropriate internal alarms in order to alert the system operator of the problem. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5 N interface | |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.1 Fault Management concept of Itf-N | An operations system on the network management layer (i.e. the NM) provides fault management services and functions required by the 3G operator on top of the element management layer.
As pointed out in clause 5, the N interface (Itf-N) may connect the network management system either to EMs or directly to the NEs. This is done by means of IRPs. In the following, the term "subordinate entities" defines either EMs or NEs, which are in charge of supporting the N interface.
This clause describes the properties of an interface enabling a NM to supervise a 3G-telecommunication network including - if necessary - the managing EMs. To provide to the NM the fault management capability for the network implies that the subordinate entities have to provide information about:
• events and failures occurring in the subordinate entities;
• events and failures of the connections towards the subordinate entities and also of the connections within the 3G network;
• the network configuration (due to the fact that alarms and related state change information are always originated by network resources, see [1]). This is, however, not part of the FM functionality.
Therefore, for the purpose of fault management the subordinate entities send notifications to a NM indicating:
• alarm reports (indicating the occurrence or the clearing of failures within the subordinate entities), so that the related alarm information can be updated;
• state change event reports, so that the related (operational) state information can be updated.
The forwarding of these notifications is controlled by the NM operator using adequate filtering mechanisms within the subordinate entities.
The Itf-N provides also means to allow the NM operator the storage ("logging") and the later evaluation of desired information within the subordinate entities.
The retrieval capability of alarm-related information concerns two aspects:
• retrieval of "dynamic" information (e.g. alarms, states), which describes the momentary alarm condition in the subordinate entities and allows the NM operator a synchronisation of its alarm overview data;
• retrieval of "history" information from the logs (e.g. active/clear alarms and state changes occurred in the past), which allows the evaluation of events that may have been lost, e.g. after an Itf-N interface failure or a system recovery.
As a consequence of the requirements described above, both the NM and the subordinate entity must be able to initiate the communication. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.2 Management of alarm and state change event reports | |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.2.1 Mapping of alarm and related state change event reports | The alarm and state change reports received by the NM relate to functional objects in accordance with the information model of Itf-N. This information model tailored for a multi-vendor capability is different from the information model of the EM-NE interface (if an EM is available) or from the internal resource modelling within the NE (in case of direct NM-NE interface), thus a mapping of alarm and related state change event reports is performed by a mediation function within the subordinate entity.
The mediation function translates the original alarm/state change event reports (which may contain proprietary parameters or parameter values) taking into account the information model of the Itf-N.
If a mediation application function is needed, it works according to the following principles:
• Every alarm notification generated by a functional object in a subordinate entity is mapped to an alarm report of the corresponding ("equivalent") functional object at the Itf-N. If the functional object generating the original alarm notification has not a direct corresponding object at the Itf-N, the mediation functions maps the alarm to the next superior functional object in accordance with the containment tree of the Itf-N.
• Every state change notification generated by a functional object in a subordinate entity is mapped to a state change report of the corresponding ("equivalent") functional object at the Itf-N. If the functional object generating the original state change notification has not a direct corresponding object at the Itf-N, the mediation functions maps the alarm to the next superior functional object in accordance with the containment tree of the Itf‑N.
Every alarm notification generated by a manufacturer-specific, equipment-related object in the subordinate entity is mapped to an alarm report of a generic logical object, which models the corresponding equipment-related resource.
NOTE: In some cases a failure or the locking of an equipment-related object implies also the change of the operational state of its corresponding functional object within the NE or EM (if EM is available). The mapping of this state change notification to an alarm or state change notification of the corresponding functional object at the Itf-N is subject of further study.
On the Itf-N the correlation between functional related and the generic logical objects (modeling equipment-related network resources) is performed explicitly by means of a relationship attribute in the functional object class definition.
With regard to the multi-vendor capability of the Itf-N, this mapping concept combines the following requirements:
• Precise information about manufacturer-specific, equipment-related failures for the NM operator in charge of network maintenance (this information is provided in some parameters of alarm reports mapped to the generic logical objects).
• If functionality is affected, an additional alarm report concerning the related functional object is provided for the NM operator in charge of network's quality of service.
If possible, the two types of alarm reports generated by the mediation function shall be correlated. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.2.2 Real-time forwarding of event reports | If the Itf-N is in normal operation (the NM connection to the subordinate entities is up), alarm and related state change event reports are forwarded in real-time to the NM via appropriate filtering located in the subordinate entity. These filters may be controlled either locally or remotely by the managing NM (via Itf-N) and ensure that only the event reports which fulfil pre-defined criteria can reach the superior NM. In a multi-NM environment each NM must have an own filter within every subordinate entity which may generate notifications. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.2.3 Alarm clearing | On the Itf-N, alarm reports containing the value "cleared" of the parameter perceivedSeverity are used to clear the alarms. The correlation between the clear alarm and the related active alarms is performed by means of unambiguous identifiers.
This clearing mechanism ensures the correct clearing of alarms, independently of the (manufacturer-specific) implementation of the mapping of alarms/state change events in accordance with the information model of the Itf-N. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.3 Retrieval of alarm and state information | The retrieval of alarm and state information comprises two aspects:
a) Retrieval of current information
This mechanism shall ensure data consistency about the current alarm/state change information between the NM and its subordinate entities and is achieved by means of a so-called synchronisation ("alignment") procedure, triggered by the NM. The synchronisation is required after every start-up of the Itf-N, nevertheless the NM may trigger it at any time.
b) Logging and retrieval of history information
This mechanism offers to the NM the capability to get the alarm/state change information stored within the subordinate entities for later evaluation. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.3.1 Retrieval of current alarm information on NM request | The present document defines a flexible, generic synchronisation procedure, which fulfils the following requirements:
• The alarm information provided by means of the synchronisation procedure shall be the same (at least for the mandatory parameters) as the information already available in the alarm list. The procedure shall be able to assign the received synchronisation-alarm information to the correspondent requests, if several synchronisation procedures triggered by one NM run at the same time.
• The procedure shall allow the NM to trigger the start at any time and to recognise unambiguously the end and the successful completion of the synchronisation.
• The procedure shall allow the NM to discern easily between an "on-line" (spontaneous) alarm report and an alarm report received as consequence of a previously triggered synchronisation procedure.
NOTE: This requirement is for further investigation.
• The procedure shall allow the NM to specify filter criteria in the alignment request (e.g. for a full network or only a part of it.
• The procedure shall support connections to several NM and route the alignment-related information only to the requesting NM.
• During the synchronisation procedure new ("real-time") alarms may be sent at any time to the managing NM.
If applicable, an alarm synchronisation procedure may be aborted by the requesting NM. (This requirement is for further investigation. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.3.2 Retrieval of current state change information on NM request | The requirements defined above for the alarm synchronisation procedure are valid analogously for the retrieval of current state change information as well.
Nevertheless the state change synchronisation procedure takes into account only the object instances whose state information is different from a combined default state. As combined default state the following values (according to [7]) shall be used:
• Operational state: enabled.
• Administrative state: unlocked.
• Usage state: idle (if supported). |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.3.3 Logging and retrieval of alarm and state change history information on NM request | The alarm/state change history information may be stored in the subordinate entities in dependence on the NM requirements. The NM is able to create logs for alarms/state change event reports and to define the criteria for storage of alarm/state change information according to [11].
The subsequent retrieval of stored information is possible on NM request in two different ways:
• via a read command with appropriate filtering;
• via bulk data transfer, using standardised file transfer procedures, as mentioned in subclause 5.1.2.
Nevertheless these particular requirements are not specific for alarm or state change information. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.4 Co-operative alarm acknowledgement on the Itf-N | The acknowledgement of an alarm is a maintenance function that aids the operators in his day to day management activity of his network. An alarm is acknowledged by the operator to indicate he has started the activity to resolve this specific problem. In general a human operator performs the acknowledgement, however a management system (NM or EM) may automatically acknowledge an alarm as well.
The alarm acknowledgement function requires that:
a) All involved OSs have the same information about the alarms to be managed (including the current responsibility for alarm handling).
b) All involved OSs have the capability to send and to receive acknowledgement messages associated to previous alarm reports.
A co-operative alarm acknowledgement means that the acknowledgement performed at EM layer is notified at NM layer and vice versa, thus the acknowledgement-related status of this alarm is the same across the whole management hierarchy.
The co-operative alarm acknowledgement on Itf-N shall fulfil the following requirements:
• Acknowledgement messages may be sent in both directions between EMs and NM, containing the following information:
• Correlation information to the alarm just acknowledged. - Acknowledgement history data, including the current alarm state (active | cleared), the time of alarm acknowledgement and, as configurable information, the management system (EM | NM) and the operator in charge of acknowledgement (the parameter operator name or, in case of auto-acknowledgement, a generic system name).
• Acknowledgements notifications sent to NM shall be filtered with the same criteria applied to the alarms.
• The alarm acknowledgement procedure on the Itf-N shall cope with different customer requirements concerning the acknowledgement competence between operators working at EMs and NM. This matter may be managed by means of a "competence type" information, which may be controlled by every connected EM.
• Every time the communication between the two management systems is established, the NM is able to determine which OS is most suitable to handle the acknowledgement of alarms.
• Taking into account the acknowledgement functionality, the above described synchronisation procedure for retrieval of current alarm information on NM request may be extended. Additionally to the requirements defined in subclause 8.3.1, this extended synchronisation procedure relates not only to the active, but also to the "cleared and not acknowledged" alarms, which have still to be managed by the EM. |
98d280e9ebdd62e62b9d51749d594208 | 32.111 | 5.5 Overview of IRPs related to fault management | The N interface is built up by a number of IRPs. The basic structure of the IRPs is defined in [2] and [3].
For the purpose of Fault Management the following IRPs are needed:
• Alarm IRP
• Notification IRP
• Log IRP
(NOTE: This IRP may not be part of Release 1999)
Annex A (informative):
Change history
This annex lists all change requests approved for this document since the specification was first approved by 3GPP TSG-SA.
Change history
TSG SA#
Version
CR
Tdoc SA
New Version
Subject/Comment
S_07
2.0.0
-
SP-000013
3.0.0
Approved at TSG SA #7 and placed under Change Control
Mar 2000
3.0.0
3.0.1
cosmetic |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 1 Scope | This document outlines the working methods [to be] used by SMG and its sub-groups and by PT SMG in relation to document management, i.e. handling of specifications, updating procedures, change request procedures, version control mechanisms, specifications status information etc. It complements the rules and procedures defined in ETSI. This document does not stipulate the details of the internal working of the TB sub-groups. From the Technical Specification Group point of view, a task and responsibility is given to a Working Group (WG) directly answering to SMG. In practice, the work/task may be carried out in a subgroup of that WG. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 2 Definitions and Abbreviations | Change Control When a specification has been put under change control, changes to the specification require an approval of formal change requests. Rules for change control are defined in section 4.
Closed A closed major version of a specification is still published; however no changes to the major version of the specification are possible anymore (not even essential corrections).
CR Change Request.
Draft A specification is draft before getting under change control.
Frozen For a frozen major version of a specification, the only allowed change requests are essential corrections.
Major Version For version w.x.y of a specification, w is called the major version. Example: For version 7.2.0 of a specification, the major version is 7.
Project Team The support group supporting the Technical Body.
PT Project Team
Specification In this document, the generic term Specification is used for both Technical Specifications and Technical Reports. A distinction between the two is done only where relevant.
TB Technical Body, denotes Technical Body SMG
TB Change Control Technical Body Change Control: The Technical Body is responsible for approval of Change Requests.
TB Sub-Group: An TB Working Group or a subgroup installed by a TB Sub-Group (recursive definition)
TB WG Technical Body Working Group
Technical Body Working Group A working group installed by the TB and reporting to the TB. This denotes an SMG Sub-Technical Committee, such as SMG1, SMG2, …
TB WG Change Control Technical Body Working Group Change Control: The TB Working Group is responsible for approval of Change Requests.
Version A specification has versions which are identified by three numbers w.x.y. Example: version 7.12.3.
WI Work Item.
WID Work Item Description.
Withdrawn A withdrawn specification doesn’t belong to the set of valid specifications.
Work Item A work item aims at introduction of a new feature or at enhancement of existing features. It may entail new specifications and/or changes to existing specifications.
Work Item Description The description of a Work Item in a standard Work Item Description sheet. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 3 General responsibilities of the Project Team | The Project Team for SMG (PT, or PT SMG) is responsible for the project management of the work of the TB. This includes editorship and management of specifications once they have been put under TB change control. It also includes preparation of and support for the meetings (including meeting reports) of the TB and its Sub-groups, in descending priority
TB > TB WG > other TB SG.
It furthermore includes liaison to other bodies and relevant groups and institutions. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4 Handling of Specifications | This section describes the general procedures and events involved in, and related to, the lifetime of a specification. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.1 Overview | This section gives an overview on the development of a specification, dealing with the unexceptional cases only, and leaving out details. A more detailed description is given in the remainder of section 4.
A new specification is created in a TB WG. At creation, a rapporteur is nominated. The rapporteur elaborates the first versions, version 0.0.0, version 0.1.0, possibly 0.1.1, 0.1.2 and so on, then version 0.2.0 etc..
The versions 0.1.0, 0.2.0, 0.3.0 etc. must be presented to the responsible TB SG. The versions 0.i.1, 0.i.2 etc. may be internal versions.
As soon as title, scope and some other information on the specification is stable, the PT assigns a specification number and enters the specification into the Status List of Specifications, see section 7.
When a specification is sufficiently stable, it is presented as version 1.0.0 to the TB for information.
Further versions 1.x.y are elaborated until version 2.0.0 is presented for approval at the TB.
After approval, the specification becomes version x.0.0 where x >=3. It is under TB change control. Further changes are made by means of formal change requests, to be approved by the TB. The number x is called the major version of the specification. If all change requests approved were editorial, the new version increments the right most number (e.g., from 7.2.1 to 7.2.2); if at least one approved CR has been non-editorial, the middle number is incremented and the right most number reset to 0 (e.g., from 7.2.1 to 7.3.0).
At some point in time, the specification is frozen: Only corrections of essential errors will be applicable. (At the same time, a new major version may be developed for inclusion of new features.)
At a later point in time, the specification is closed: it is still publicly available, but no changes are carried out any more. (At the same time, higher major versions of the specification may be under development.)
The major versions of specifications may be developed in releases: Releases like Release 1999, Release 2000, Release 20001 are specified in major versions of the specifications.
For example,
- GSM phase 1 is specified in the most recent versions 3.x.y of the specifications, that is in major version 3;
- GSM phase 2 is specified in the most recent versions 4.x.y of the specifications, that is in major version 4;
- GSM Release 96 is specified in the most recent versions 5.x.y of the specifications, that is in major version 5;
- GSM Release 97 is specified in the most recent versions 6.x.y of the specifications, that is in major version 6;
- GSM Release 98 is specified in the most recent versions 7.x.y of the specifications, that is in major version 7. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.2 Characteristics of a specification | - The specification has a prime responsible TB.
- The specification may have a prime responsible TB WG.
- The specification may have one or more secondary responsible TBs and/or TB WG.
- The specification may have a prime responsible TB Sub-Group below a Working Group as decided by the prime responsible TB WG.
- The specification should have a rapporteur (i.e., at least one rapporteur): a delegate from a member company (or, in exceptional cases, a PT expert); the delegate participates regularly in the prime responsible TB WG (and further TB SG if applicable).
- The specification is a Technical Report or a Technical Specification
- A specification has versions which are identified by three numbers w.x.y where w is called the major version.
Note: In the description above, attribute values are underlined while attributes aren’t.
The prime responsible TB WG may assign prime responsibility for a specification to one of its subgroups. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.3 Characteristics of a major version of a specification: | A major version 0 or 1 or 2 of a specification has the following characteristics:
- It is either a draft or withdrawn.
- It is TB internal.
A major version w > 2 of a specification has the following characteristics:
- It is either under TB WG Change Control or under TB Change Control or closed or withdrawn.
- It is either authorised for publication or TB internal.
A major version of a specification under TB WG Change Control is TB internal.
A major version under TB WG Change Control or TB Change Control is called major version under Change Control.
A major version of a specification under TB Change Control is
- either not yet frozen or frozen.
Note: In the description above, attribute values are underlined while attributes aren’t. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.4 Characteristics of a version of a specification | 0.x.y
- draft (or withdrawn)
- TB internal
- no version of the specification has been presented for information to the TB yet
- no major version of the specification is under TB change control yet
1.0.0
- draft (or withdrawn)
- TB internal
- this version 1.0.0 is presented to TB
- for information
- or for information and approval
- no major version of the specification has been under TB Change Control yet
1.x.y (x > 0 or y > 0)
- draft (or withdrawn)
- earlier version 1.0.0 has been presented for information to the TB
- no major version of the specification is under TB Change Control yet
2.0.0
- draft or withdrawn
- TB internal
- earlier version 1.0.0 has been presented for information to the TB
- this version 2.0.0 is presented to the TB for approval
- no version of the specification has been approved yet
- no major version of the specification has been under TB Change Control yet
2.x.y (x > 0 or y > 0)
- draft
- TB internal
[- earlier version 1.0.0 has been presented for information to the TB]
- no major version of the specification is under TB Change Control yet
- earlier version 2.0.0 had been presented to the TB for approval but had not been approved by the TB
x.y.z (x 3)
- under TB Change Control or closed
- TB internal or authorised for publication
[- earlier version 1.0.0 has been presented for information to the TB]
- earlier major versions of the specification, if any, shall be under TB Change Control or closed or withdrawn
draft y.z of version x
- under TB WG Change Control
- TB internal
[- earlier version 1.0.0 has been presented for information to TB]
- earlier major versions of the specification, if any, shall be under TB Change Control or closed or withdrawn
Notes: In a future version, file name conventions should be added in the table above.
In the table above, statements between square brackets are true but not relevant. The first two lines of each row are implied by section 4.2. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.5 Actions on a specification | In the following subsections the concept of "stability" is used , which is linked to the likelihood that a given specification will change more or less significantly before reaching it's final steady. The attributes "low stability", "medium stability" and "good stability" are used. The assessment of stability cannot be based on absolute criteria and is left to the decision of the responsible TB WG(s) and finally decision of the TB. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.5.1 Actions on a new specification (version 0.x.y) | - A new specification (a specification version 0.0.0) may be created by a TB WG. A rapporteur (more exactly: at least one rapporteur) is assigned by that WG. A prime responsible subgroup of the TB WG may be allocated by the TB WG.
- The rapporteur prepares version 0.1.0 and presents it to the prime responsible TB WG/SG for discussion.
- In an iterative process, the rapporteur prepares a new version 0.x+1.0 incorporating comments from the prime responsible TB WG/SG to versions 0.x.y and presents version 0.x+1.0 to the prime responsible TB WG/SG for discussion.
- Between version 0.x.0 and 0.x+1.0, the rapporteur may create versions 0.x.1, 0.x.2, … with only editorial modifications.
- When the title and scope of a specification is sufficiently stable, a Specification Number is assigned by the PT, which also informs the other relevant Technical Bodies.
- The TB WG reports the creation of a new specification to the TB.
- New specifications should be co-ordinated between the 3GPP TSGs and SMG. These bodies should seek agreement on prime and secondary responsibilities for each specification. In areas of common interest it is recommended to agree on new specifications in joint meetings.
- The TB may cancel a new specification.
- The TB WG may decide to present a specification version 0.x.y to the prime responsible TB and to the secondary responsible TB SG(s) for information; the specification should then have reached the “medium stability” state.
- The TB WG may also conclude that the specification has already reached the “good stability” state and decide to present it to the TB for information and approval; before doing that, comments from secondary responsible TB SGs, if any, should have been taken into account.
Then the specification is handed over to the PT for the necessary - strictly editorial - cleaning up resulting in version 1.0.0. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.5.2 Actions on version 1.x.y of a specification | - On decision of the prime responsible TB WG, the PT transforms version 0.x.y of a specification into version 1.0.0, performing the necessary - strictly editorial - cleaning up, and version 1.0.0 is presented by the TB WG to the to the prime responsible TB and to the secondary responsible TB SG(s) for information or for information and approval.
- The TB may decide to put the specification under change control as major version x (where x > 2 depends on the Release which the specification belongs to). In this case, version 1.0.0 is transformed by the PT into version x.0.0, and the further handling is described in section 4.5.4. Otherwise, the handling of the specification continues as described below:
- In an iterative process, the rapporteur prepares a new version 1.x+1.0 incorporating comments from the prime and secondary responsible TB SGs to versions 1.x.y and presents version 1.x+1.0 to the prime and secondary responsible TB SGs for discussion.
- Between version 1.x.0 and 1.x+1.0, the rapporteur may create versions 1.x.1, 1.x.2, … with only editorial modifications.
- The prime responsible TB WG may decide to present a specification version 1.x.y to the prime responsible TB for approval; the specification should then have reached the “good stability” state ; comments of the secondary responsible TB SGs should have been taken into account.
Then the specification is handed over to the PT for the necessary - strictly editorial - cleaning up resulting in version 2.0.0. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.5.3 Actions on version 2.x.y of a specification | - On decision of the prime responsible TB WG, the PT transforms version 1.x.y of a specification into version 2.0.0, performing the necessary - strictly editorial - cleaning up, and version 2.0.0 is presented by the prime responsible TB WG to the prime responsible TB for approval; comments of the secondary responsible TB SGs should have been taken into account. If version 2.0.0 is not approved, work continues with versions 2.x.y.
- The TB may decide to put the specification under change control. In this case, version 2.0.0 is transformed by the PT into version x.0.0, (where x > 2, see section a.4), and the further handling is described in section 4.5.4. Otherwise, the handling of the specification continues as described below:
- In an iterative process, the rapporteur prepares a new version 2.x+1.0 incorporating comments from the prime and secondary responsible TB SGs to versions 2.x.y and presents version 2.x+1.0 to the prime and secondary responsible TB SGs for discussion.
- Between version 2.x.0 and 2.x+1.0, the rapporteur may create versions 2.x.1, 2.x.2, … with only editorial modifications.
- The prime responsible TB WG may decide to present a specification version 2.x.y to the TB for approval; the specification should then have reached the “good stability” state ; comments of the secondary responsible TB SGs should have been taken into account.
Then the specification is handed over to the PT for the necessary - strictly editorial - cleaning up resulting in version 2.x+1.0. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.5.4 Actions on version w.x.y of a specification (w > 2) | - On decision of the TB, the PT transforms a version v.x.y of a specification into version w.0.0, performing the necessary - strictly editorial - cleaning up.
- The prime responsible TB WG may agree on Change Requests to the most recent version w.x.y of major version w of a specification. It will then propose these CRs to the TB for approval, however before doing that, it has to seek comments from the secondary responsible TB (WG)s - if any - and to take them into account (joint meetings of the appropriate TB SGs are recommended for that purpose). If and when at least one Change Request to version w.x.y of major version w of that specification is approved by the TB, the PT includes all Change Requests to version w.x.y of major version w of that specification into a new version
- w.x.y+1 if all change requests approved by the TB are editorial
- w.x+1.0 if at least one change request approved by the TB is not editorial
- From a version w.x.y of major version w of a specification, the PT may create a new version w.x.y+1 where only changes in the front sheet, preface and history are performed (for publication purposes)
- From the most recent version w.x.y of major version w of a specification, the PT may create a new version w.x.y+1 in agreement with the rapporteur and the prime responsible TB WG where only strictly editorial changes are performed.
- If Change Requests have been introduced incorrectly into the most recent version w.x.y of major version w of a specification, the PT may create a new version w.x+1.0 in agreement with the rapporteur and the prime responsible TB WG, to correct the introduction of Change Requests. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.5.5 Actions on the major version of a specification | - The TB may decide to create a new major version >2 of a specification.
- The TB may decide to withdraw a major version of a specification.
- The TB may decide to close a frozen major version of a specification.
- The TB may authorise a major version >2 for publication or decide that it is TB internal.
- The TB may decide to freeze a major version of a specification under change control.
- The TB may decide to unfreeze a major version of a specification under change control.
- The prime responsible TB WG may decide to create a new major version > 2 of a specification under TB WG Change Control.
These decisions have to be taken in agreement with all relevant TBs (that is with all applicable TSGs, if UMTS is concerned). |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.6 Change Request Regime | Modifications to specifications under TB Change Control are decided by the TB, on the basis of Change Requests (CR). These CRs, described in the following sections, shall in principle only be presented to the TB after having been scrutinised by the TB WG responsible for the concerned specification; comments from secondary responsible TBs (if any) have to be have sought and comments have to be have taken into account. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.6.1 Change Requests | Whenever an error or an inconsistency is discovered or when a new feature is proposed to be included, a Change Request is produced, normally by the one discovering the error but in consultation with the rapporteur and/or with the PT.
In the case of an essential error corrections, separate Change Requests for each affected major versions that is under TB Change Control or TB WG Change Control shall be produced.
In the case of a correction of a non-essential error, separate Change Requests for each affected major versions that is
- under TB Change Control and not yet frozen or
- under TB WG Change Control
shall be produced. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.6.2 Change Request forms | To ensure an appropriate and consistent way of presenting and documenting Change Requests, there exist standardised front covers (forms) for CRs as well as rules on how to accurately identify the modified parts of the specification.
The purpose of the CR form itself is to provide the relevant management information of the proposed changes, e.g. such as
- Target specification with its version number,
- Source of the CR,
- Reason for the proposed change and consequences if not accepted,
- Category of proposed change (i.e. correction, change request corresponding to an earlier phase change request, addition of feature, functional modification of feature, or editorial modification),
- Cross-phase compatibility aspects.
As the degree of acceptability for modifications differs between not yet frozen major versions of specifications and frozen major versions of specifications, the CRs differ on the allowed/possible Categories:
- CRs to a frozen major version of a specification can only be essential corrections whilst
- CRs to a not yet frozen major version of a specification can also fall into any other of the categories quoted above.
The actual CR forms to be applied and guidance how to apply them are distributed by the PT. The access to them is described in an annex of each TB plenary report. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.6.3 Contents of Change Requests | Although the CR form shall indicate the details of change, each CR shall have attached the pages of the specification that are affected by the CR, using the latest version of the major version. These pages shall have the proposed modifications clearly marked, by means of the word processor's "revision mode", i.e. new proposed text should be double underlined (xxx) and proposed deletions should be marked by strike through (xxx), and a bar in the margin should further indicate the change.
In case there are more than one independent CR to the same part of the specification, neither of them should contain the proposed modifications from the other(s), however any potential interaction between the modifications should of course be resolved before presentation. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.6.4 Handling of the Change Requests | Entry to the TB WG:
A proposed CR should be brought to the relevant TB WG or, if applicable, to the prime responsible TB SG in charge of the specification concerned and discussed there, before presentation to the TB. If possible it should be distributed, by the source, as soon as possible and prior to the coming TB SG / TB WG meeting to the relevant email reflector (with a clear indication of the subject) , for the purpose of shortening discussions in meetings and to try at an as early stage as possible to come to a widely acceptable solution. Comments from secondary responsible TBs (if any) have to be have sought and comments have to be have taken into account before presentation to the TB for approval.
When the relevant TB WG decides to submit a CR to the TB for approval, the CR is categorised as strategic or non-strategic by the TB WG chairperson in agreement with the TB WG. Non-strategic CRs are submitted to the TB for approval without presentation; strategic CRs are submitted to the TB for approval with presentation.
To ease the work of the TB SG and of the PT, a proposed CR should be presented in a form suitable for TB SG agreement and TB approval. If a CR is not immediately accepted it is the responsibility of the originator to update the CR taking into account comments and other guidelines from the relevant groups, including change of reference version if needed, and to re-present it to the TB SG.
Note: It is also highly important that the originator of the CR provides the PT with an electronic copy since the contents is supposed to be incorporated into the specification, by the PT, and re-typing of CRs is clearly a waste of resources and a possible source of errors.
CR identification:
A CR can have different revisions: rev. 0, 1, 2, and so on. Revision 0 of a CR is the not revised CR. A given revision of a CR is applicable to a certain version of a specification. The CR identifies, to which specification, which version of the specification and which phase it applies. A given revision of a CR is uniquely defined by
- the specification it belongs to
- an alphanumeric string (the CR number) and
- the revision number (default, i.e. the value if no number is given, is 0).
One CR may only apply to one version of a specification, that is to the latest version of a major version. If more than one major version of a specification exists, it may be necessary to elaborate parallel CRs for different major versions.
The uniqueness of the CR number is on a per specification basis, but independent of the major version, i.e. CR No 001 [may] exist for each specification but only once.
The CR number is allocated by the PT. It may be allocated prior, during or after the TB SG meeting at which it is discussed but before submission to the TB. Even though different TB SGs have different working routines it is beneficial and thus recommended that CR numbers are allocated no later than at TB SG agreement.
CR numbers are unique and shall never be reused, not even numbers used for [early] rejected CRs.
Impact on other specifications and Joint CRs:
If the contents of the CR is such that isolated it makes the whole set of approved Specifications inconsistent, corresponding CRs must also be considered and produced. This shall preferably be carried out by the originator of the CR (and his/her colleagues in other TBs and TB SGs) in advance. The PT is co-responsible for identifying and communicating cross TB and cross TB SG impacts.
In principle, a CR shall not be forwarded to the TB unless the potential impact on other specifications have been thoroughly examined and concluded, either resulting in a 'No impact' statement or in a full and consistent set of corresponding CRs to all affected specifications. Such sets of CRs are normally combined in one single document, by the PT, before submission to all responsible TBs and called 'Joint CR'. An approval by all prime responsible TBs is necessary.
If some of the corresponding CRs are to be considered by other TB SGs or TBs then the PT is responsible for monitoring the result in the TB SGs and to submit the full set, when available, to the TB. This might mean that in some cases the TB SG agreed CRs are not presented to the immediately following TB meeting due to outstanding CRs from other TB SGs or TBs.
Other "consequential" CRs, needed for reasons other than direct consistency, may be drafted, presented and agreed independently. This covers typically additions to Test specifications and O&M specifications. It should be noted though that if a CR causes an inconsistency with an existing/approved test or O&M specification, the corresponding CRs should be presented together with the core specification CR.
Handling of the CR in the TB:
If the TB WG has agreed to a CR and comments from secondary responsible TB (SG)s have been taken into account, the CR is forwarded to the prime responsible TB for formal approval. It is the responsibility of the PT to make sure that TB WG agreed CRs are made available to the TB, and that they are properly formatted, numbered and consistent. Likewise, it is the responsibility of the PT to ensure that Joint CRs are complete and put together before submission to the TB(s).
Non-strategic CRs are submitted to the TB for approval without presentation; strategic CRs are submitted to the TB for approval with presentation.
The PT is responsible for making available to the TB summary lists of all CRs presented for decision. This list is then updated to include the result of each and every CR.
Note: This list is generated from the CR database held by the PT, see section 7.
Decisions on CRs, and results:
The TB considers and concludes on each strategic CR independently, except for Joint CRs which are handled and concluded together, and the verdicts could be as follows:
Verdict
Meaning
Approved:
Contents to be incorporated in the specification.
Postponed:
Concept of CR seems acceptable in principle but further refinements are necessary. CR is sent back to the TB-SG for revision and possible re-submission at a later TB meeting.
Rejected:
CR not acceptable in any sense. If further discussions on the subject should take place that shall be done on the basis of different documents and approaches.
Non-strategic CRs presented to a TB meeting are automatically accepted at the end of the meeting if no TB delegate requested discussion of the CR during the TB meeting. If at least one delegate requests discussion of a non-strategic CR during the TB meeting, the CR is presented to the meeting and further treated as a strategic CR.
If there is at least one Approved CR to a given specification, a new version number of the specification is allocated (see clause 4.2.3), and the PT will produce and issue a new version of the specification after the TB approval.
Control and notification of CR decisions:
• The PT makes available the list of non-strategic CRs presented to a TB meeting before the meeting to all heads of delegation.
• Towards the end of each TB meeting, the PT issues lists containing the detailed result of the CRs presented at the meeting, including information about the consequential new version numbers of the concerned specifications. These lists form an annex to the meeting report (and hence are part of a permanent document). These lists, being the evidence of which specifications have changed and how, are important management tools for both TB delegates and the PT since it always takes some time before the new versions of the specifications as such can be compiled and released.
Databases: See section 7. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 4.6.5 Updating and release of new versions of the specifications | After TB approval of one or more CRs, the PT produces a new version of the specification (with the version number incremented according to above). |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 5 Availability and distribution of specifications | The latest versions of TB approved and TB WG approved specifications are made available on a TB server (exact location see TB meeting report) by the PT. For specifications (or major versions of specifications) that are not yet under change control, the versions presented to the responsible TB-SG or WG, shall be made available to the PT by the rapporteur and made available on a TB server by the PT. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6 Work items | For project management purposes, the work is itemised in Work Items (WI), which are documented, developed and handled as described in this section.
The possible modifications of the specifications are basically of different natures:
- Error corrections; Modifications which correct overlooked errors or inconsistencies in the specifications.
- Enhancements; Modifications that enhance the system, e.g. by new services or features, or by improving performance or decreasing costs.
Modifications of the correction category are ongoing maintenance tasks and are handled with direct CRs and thus not by means of Work Items.
Modifications of the enhancement category are handled within the concept of Work Items as described in the sections below. Note that prior agreement of the TB is needed before any substantial work is launched. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.1 Creation of a Work Item | When an enhancement of the standard is considered desirable a delegate or delegation can make a proposal by submitting a Work Item Description sheet to the relevant TB or TB WG.
- For new services, features or functions, the TB responsible for Services and System Aspects is the relevant TB. This TB also assigns prime and, if necessary, second responsible TBs for the corresponding work items.
- For pure performance enhancements, other TB WGs may be the responsible TBs (the test specifications are normally not seen as independent work items).
The relevant TB WG should study and refine the WI sheet before passing it on to the TB for adoption.
No substantial work shall commence in a TB WG prior to a decision of the responsible TB.
The actual WI description sheets to be used and guidance how to apply them are distributed by the PT. The access to them is described in an annex of each TB plenary report.
The TB shall not approve a WI unless the Work Item Description (WID) sheet has been properly filled in to the degree possible at that time.
Once the TB has approved the WI, it is included in the WI Status List and the WI Description sheet is included in the WID compilation. Both these actions are carried out by the PT. The WID should be updated as soon as new information is available.
The effects of the WI in terms of initial work distribution and responsibilities in the TB (WG)s must be identified and allocated. Also, one or more rapporteurs have to be identified for the initial tasks, typically one for the service aspects and one for the system requirements. This should preferably be done prior to submission to the TB, but in the worst case during the following TB (WG) meetings. This information is also included in the WI Status List managed by the PT. During the lifetime of the WI, additional responsibilities as well as output documents and corresponding rapporteurs can be identified. Similarly, this information is then included in the status list.
A work item normally implies the creation of new specification and Change Requests to existing specifications. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.2 Type of Work Items | Modifications of the standard could in principle be of two different types:
- New services/features/functions that in general affects several specifications and several TB-SGs;
- Pure [technical] enhancements that affects a small number of specifications and TB-SGs only (generally only one).
Of these, modifications of the latter type can be submitted to the TB SG(s) and then TB directly as a Change Request without prior presentation/agreement of a WI Description sheet. Such CRs shall instead refer to the pseudo Work Item 'Technical Enhancements'. For the other type of modifications, the following sections apply. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.3 Start and continuation of the work and responsibilities | An early task when elaborating a work item is to identify the tasks related to the WI and allocate those to the TBs and TB SGs.
In most cases the tasks from a WI can be split immediately in the following areas:
- Service requirements
- System/Architectural requirements and implications
- Protocol specifications
Service requirements:
The responsibility of the service requirements can usually be allocated immediately at the creation/adoption of the WI. Occasionally other groups may be given responsibility for the service requirements. This might be another TB-SG, e.g. a Task Force. In any case, however, it should be a single group and one that reports directly to the TB.
System/Architectural requirements and implications:
Also, the responsibility for system/architectural requirements should be allocated immediately, even though the implications and requirements normally will be seen only after the study on service/system requirements have been initiated. The responsibility for the system/architectural requirements must be given to a single body to guarantee the consistency of the adopted solution.
The choice of group should not [pre-]determine the technical choices and in many cases, the responsibility for system and architectural requirement study needs a widening of the competency and a readiness to look to a variety of technical aspects. This can be obtained either by drawing the attraction of the suitable experts (e.g., by setting special meetings or clear meeting dates) or by the organisation of joint meetings.
The overall consistency of the system architecture must be maintained along with the numerous modifications due to various work items. This responsibility is allocated to the TB SG on system/architecture (SMG 12) which for this purpose ensures the co-ordination of the development of general architecture concepts and their applications to individual Work Items, and should thus also draw attention and expertise from other TBs and TB SGs as well.
Protocol specifications:
The responsibility for the elaboration of the protocol specifications can in most cases not be allocated at the early stages since it depends on the technical implementation choices and hence on the results of the study of the service/system requirements as well as on the architectural conclusions.
The identification of new protocols to be specified and/or existing protocols to enhance will be derived from the system/architectural requirements. In general, modifications of existing protocols are done by the TB SG in charge of the protocol in question, whilst the responsibility for development of new protocols is allocated by the TB based on proposals from the TB SG on system/architecture. Then, whether the actual work is done in the TB SG itself or in an ad hoc subgroup thereof is at the discretion of that TB SG. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.4 Realisation of Work Items | |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.4.1 Planning and categorisation of the deliverables (and control thereof) | Planning:
An initial time plan should be set up at an early point. As a basis, the time plan should include at least the following points:
1. Presentation for principle agreement of the service requirements;
2. Presentation for principle agreement of the architectural/system implications and requirements;
3. Presentation for information of the drafts of all needed deliverables,
4. Presentation for approval of all needed deliverables.
The time plane includes realistically achievable dates for each step and should be part of the Status List.
The WI Status List contains also information/lists about existing and planned permanent and semi-permanent documents related to the WI, e.g. future specifications as well as interim/temporary requirements "specifications", including the responsible TB SG/group, the rapporteur, the state of the documents, expected completion dates, etc.
Categorisation:
Before the substantial work on a Work Item starts, the WI shall be examined in the light of its technical and commercial dependency with respect to the existing specifications as well as with respect to other Work Items. Aspects that must be considered and settled at an early stage are:
- Required versus acceptable time scales;
- Whether the WI has an impact on Mobile Stations or not;
- Whether the WI has an architectural impact or not;
- To which degree the WI needs to be standardise (and hence how much can be left "open", to speed up the work);
- Whether the WI can be technically and/or commercially combined/grouped with other WIs;
- ......
Unless the above aspects are sorted out in the beginning of (or prior to) the work, the risk of getting inefficient and non-optimal specifications increases and the control of the work becomes difficult and unmanageable.
These aspects are also contained in the WI Status List. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.4.2 Choice of deliverables | The WI will be realised as new specifications and/or amendments to existing specifications; the exact structure lies with the individual TB SGs and the TB. Typically, a new feature may result in at least three completely new specifications (Stages 1, 2 and 3) but also cause amendments to the major protocol specifications. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.4.3 Contents of deliverables | |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.4.3.1 Service Requirements | This task, allocated and controlled according to above clauses, consists in describing in details the aim of the work item, as seen by those for which a service is provided, e.g. end users, operators, service providers, etc.
Apart from the general rules on how to write specifications, certain state of the art ways of producing service requirements specifications are established in the TB, but as most new types of service differ in nature and structure from each other, no detailed rules are written.
In many cases it is preferred that prior to the actual service requirements specification being produced, an initial combined service and system/architectural requirements and considerations document is produced, involving both service oriented and implementation expertise. In particular when an ad hoc Task Force is charged with performing a study on a certain WI (aspect) such a starting point document is produced and then used as a basis for the TB SGs when carrying out the detailed work on service requirements/descriptions and technical realisation specifications. Such setting-the-basis documents are generally kept for some time after the actual work on the detailed specifications has progressed to a mature level (mainly for the purpose of easing the understanding and to shorten the interaction and negotiation period between service requirements and system/architectural and technical restrictions).
Such 'setting-the-basis' document can also be used to describe the project management of a work item (to collect all prepared but not yet approved CRs related to the WI in question and so on). |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.4.3.2 Technical realisation specifications | This covers both the overall architectural and interface specific detailed specifications. The architectural implications and requirements need to be identified at a very early stage, both for the purpose of knowing which parts of the standard (and hence of the UMTS system) are affected by a WI, but also for the purpose of supporting the identification of cross-WI similarities (and hence more overall efficient solutions).
The overall co-ordination of the architectural/system requirements is with a single group as stated above, whilst the ensuing detailed protocol definitions and specifications may be distributed over several groups (according to their scope). |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.4.3.3 Test Specifications | Changes to the core specifications may have impact on the test specifications. The corresponding changes to test specifications have to be approved before publication the new core specifications. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 6.5 Closing of Work Items | When all necessary modifications for a given Work Item (or group of Work Items) are completed all over the scope of the system, and all the corresponding new specifications and Change Requests have been approved and released, then the Work Item is officially closed. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 7 Management documents and tools | This clause summarises and lists the various permanent or semi-permanent documents (and means of documenting).
All these documents/tools are within the responsibilities of the PT but are available to SMG delegates. They are made available on a document server (the exact location is published in each TB meeting report).
All data bases are in Microsoft Access format unless otherwise stated. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 7.1 Status List of Specifications | This list (data base) contains information about all SMG specifications, in terms of specification number, title, latest approved version, history on version numbers, rapporteur and some other details. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 7.2 Work Item Status List | This data base contains information about all SMG work items, in terms of identified future specifications, identified specifications to be amended, supplementary/temporary documentation, expected/planned completion dates and intermediary milestones, and other management information related to specifications, responsible TB Sub-Groups, rapporteurs, completion dates etc.. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 7.3 Change Request data base | The Change Request data base records all CRs to specifications. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 7.4 Mailing lists data bases | The members data base contains information of all SMG delegates. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 7.5 Electronic tools used/preferred | For the various types of documents and parts of documents of SMG, a minimum variety of word processors etc. should be used. The following lists those tools to be used for documents:
Type
Tool(s)
Comments
Text
Microsoft Word 97 (SR-2)
Graphics
Micrografx Designer version 7.0
MS Draw 98
Freeware from Microsoft. The built-in drawing package of Word is not recommended.
SDL, MSC,
Telelogic SDT version 3.2
Rapporteurs can obtain, as a loan, this software from ETSI
TTCN
Telelogic ITEX version 3.4
Databases
Microsoft Access 97 (SR-2)
General Tools
Microsoft Office 97 software Suite (Excel 97, Powerpoint 97, etc.) |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 7.6 WEB and FTP services | ETSI (http://www.etsi.org) and 3GPP (http://www.3gpp.org) web pages provide up-to-date information on specification work like: meeting calendar, meeting minutes, meeting documents and latest specifications. FTP links to file server areas of each TB WG can be found via WEB. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 7.7 E-mail reflectors | All TB WGs have their own e-mail lists. There are also several additional lists per topic. Further information can be found on WEB pages. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 8 Email decisions | TB sub-groups may apply email decision procedures for decisions they are entitled to take, as defined by superior bodies (e.g. on specifications, CRs, Liaison statements, etc). Each TB sub group may set its rules for making email decisions, however, it is required
- that the rules are clearly defined and documented;
- that a delegate having participated in plenary meetings is able to identify that he has possibly missed an email relevant to email decision.
Chapters 8.1-8.6 describe an email decision procedure example.
8.1 Email drafting phase
An email drafting can be launched, either on a dedicated exploder list as a cybermeeting or as an informal discussion between interested delegates. Objectives can extend from debating an existing contribution, a Liaison Statement or a Change Request to progressing the service requirements of a specific Work Item and involving one or more Work Groups within an ad hoc.
In case of "cybermeeting", the chairman of the discussions shall issue an un-ambiguous guideline including:
1. The objectives and agenda of the meeting,
2. Input document(s) to be clearly specified
3. Start date and end date of the debates.
4. Afterwards, summary of results of the "cybermeeting"
The end-goal being to reach an “agreement” on the deliverable, either at the next meeting or via an e-mail approval procedure. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 8.2 Email decision declaration | Authority for an Email decision to take place should be agreed usually at plenary meeting. If this is not possible, there shall be a clear mail (i.e. status report) indicating that there will be a email decision. This mail shall be sent on working groups main mailing lists. Target and timeframe need to be clearly indicated. Email decision shall take place using the main WG reflector. A permanent Chairman (i.e. WG chairman or vice chairman) must be nominated who is responsible for managing email desision procedure, including initiation, monitoring and announcing when it is complete.
It is not the objective for email desision procedure to re-open the discussions of a “cyber meeting”. The only use of the main reflector, when approving the outcome of a “cyber meeting”, shall be to accept the outcome of the cyber meeting unchanged (apart from editorial remarks), or reject it. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 8.3 Status reporting | During the e-mail desicion period, there shall be clear message stating what the status of each open item is. It is recommended to have a weekly summary of the status of all items, from the previous plenary listing:
• The name of the open item
• The name of the responsible delegate,
• Time left for comments before the deadline & expiration date
• Current work versions of documents: Tdoc number, CR number, Revision number
• Status (Debate ongoing, Agreed, Postponed, Rejected...) |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 8.4 Decision announcement | When a decision is made (Agreed, rejected, postponed,..) a clear notification on what has been agreed shall be sent on the WGs’ main mailing list. Notification may be included at status report. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 8.5 Timing | Email decision procedure should start latest 3 weeks before plenary:
• Email decision period is two weeks (one status report required).
• Procedure shall be completed one week before the plenary due to practical arrangements. |
714fea1a3412b60c57d0fb418fe8bfee | 01.00 | 8.6 General | • On exceptional case's when procedure cannot be followed a clear notice from chairman is required.
• Emails on mailing list shall contain a header with meaningful keywords, e.g. S1 Tdoc xxx on Charging or/and CR 22xxA012r4.
• If there are no comments during the allowed period, agreement is granted automatically.
• TB WGs status report to higher body meeting, is emailed to mailing list one week before the meeting. This allows delegated final possibility to review last periods progress.
Annex A (informative): Change control history
SMG#
VERS
SUBJECT
30
8.0.0
Version 8.0.0 created from version 7.2.0 |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 1 Scope | This specification constitutes a requirement specification for a set of associated cryptographic algorithms which is used for Cordless Telephony System (CTS) Radio Interface authentication and key management in the GSM Cordless Telephony System.
This specification is intended to provide ETSI SAGE with the information it requires in order to design and deliver a technical specification for such an algorithm set.
This specification covers the intended use of the algorithm set and use of the algorithm set specification, technical requirements on the algorithm set, requirements on the algorithm set specification and test data, and quality assurance requirements on both the algorithm set and its documentation. The document also outlines the background to the production of this specification. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 1.1 Organisation of this specification | The material presented in the subsequent clauses of this specification is organised as follows:
subclause 1.2 provides some background to the production of this specification.
clauses 4 and 5 describe the context in which the algorithm set and its specification are intended to be used.
Clause 4 outlines the intended use of the algorithm set in terms of which organisations shall be entitled to use it, what they shall use it for, where it shall be used, and how it shall be implemented.
Clause 5 describes the intended use of the algorithm specification set in terms of who shall own it, who shall use it, and how and under what conditions the specification shall be provided to those users.
clause 6 specifies the functional requirements for the algorithm set. This covers the type and parameters of the algorithm, the interface to the algorithm set, the envisaged modes of operation of the algorithm set, implementation and operational considerations which may have an impact on the design of the algorithm set and requirements on the resilience of the algorithm set.
clause 7 details requirements on the algorithm set specification and associated test data deliverables.
clause 8 addresses quality assurance requirements, needed to give confidence in the design of the algorithm set and the adequacy of the algorithm set specification and test data.
clause 9 is a summary of the deliverables expected from ETSI SAGE. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 1.2 Motivation | Discussions within SMG led to the conclusion that GSM-CTS can only be provided on a commercially solid and successful basis if appropriate security features are integrated into the system. In particular it was decided to standardise mechanisms both authentication and key generation algorithms.
Consequently an annex to GSM 03.20 was produced, which specifies the security features of the CTS. It was also concluded that, in order to support inter-operability between equipment, and in line with the policy for GSM, a set of standard ETSI algorithms for CTS Radio Interface authentication and key management needs to be specified.
The implementation of the algorithm set is mandatory, the implementation shall be in line with this specification. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 2 Normative References | The following documents contain provisions which, through reference in this text, constitute provisions of the present document.
• References are either specific (identified by date of publication, edition number, version number, etc.) or non‑specific.
• For a specific reference, subsequent revisions do not apply.
• For a non-specific reference, the latest version applies.
• A non-specific reference to an ETS shall also be taken to refer to later versions published as an EN with the same number.
[1] GSM 01.04: "Digital cellular telecommunications system (Phase 2+); Abbreviations and acronyms"
[2] GSM 03.20: "Digital cellular telecommunications system (Phase 2+); Security related network functions; Stage 2. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 3 Definitions and abbreviations | |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 3.1 Definitions | All definitions used in this specification are specified in GSM 03.20 Annex E. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 3.2 Abbreviations | In addition to those mentioned below, abbreviations used in this specification are listed in GSM 01.04.
CTS Cordless Telephony System
SAGE Security Algorithms Group of Experts
CTS-ME CTS Mobile Equipment
MS-SIM Mobile Station CTS Subscriber Identity Module
FP-SIM Fixed Part CTS Subscriber Identity Module
CTS-MS A CTS-ME combined with a CTS-SIM
CTS-FP CTS Fixed Part
CTS-SN CTS Service Node
FPAC code entered by the CTS user to initialise a CTS-MS/CTS-FP
Ka CTS authentication key for a CTS-MS/CTS-FP pair
Kc CTS ciphering key for a CTS-MS/CTS-FP pair
Kop CTS authentication key used for the authentication of the CTS-FP by the CTS-SN and the authentication by the CTS-FP of the signature issued by the CTS-SN
Data1 CTS data constant used for the CTS-FP authentication by the CTS-SN
Data2 CTS data sequence to be signed by the CTS-SN and sent to the CTS-FP for signature authentication
MAC1 CTS result of the computation of the CTS-FP authentication algorithm using Kop and Data1
MAC2 CTS signature of the data sequence Data2
RIFP CTS Random Initial value sent from the CTS-MS to the CTS-FP
RIMS CTS Random Initial value sent from the CTS-FP to the CTS-MS
SRES1 CTS Signed RESponse of the CTS-FP’s CH1 and the Ka of the CTS-MS
SRES2 CTS Signed RESponse of the CTS-MS’s CH2 and the Ka of the CTS-FP
XSRES1 CTS Signed RESponse of the CTS-FP’s CH1 and the Ka of the CTS-FP (to be compared with SRES1)
XSRES2 CTS Signed RESponse of the CTS-MS’s CH2 and the Ka of the CTS-MS (to be compared with SRES2) |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 4 Use of the CTS algorithm set | The purpose of this clause is to define those organisations for whom the algorithm set is intended, describe the type of information which the algorithm set is intended to protect, indicate possible geographical/geopolitical restrictions on the use of equipment which embodies the algorithm set, and describe the types of implementations of the algorithm set that are envisaged. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 4.1 Use of the algorithm set | The algorithm set shall only be used for providing the authentication and key management as described in GSM 03.20 Annex E. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 4.2 Places of Use | The algorithm set is installed in each CTS Mobile Equipment (CTS-ME) ,in each CTS Fixed Part (CTS-FP) and in each CTS Service Node (CTS-SN). The standard does not forbid future use in a CTS-SIM in later CTS phases.
Legal restrictions on the use or export of equipment containing cryptographic features that are enforced by various European Governments may prevent the use of equipment in certain countries. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 4.3 Types of Implementation | An algorithm with minimal restrictions on export when licensed and managed as described in clause 5, is desired because of the global use of GSM.
The design of the algorithm set should support software implementations for 8 bit processors. Those implementing the algorithm set shall be required through a licence and confidentiality agreement which they shall sign with ETSI, as described in subclause 5.3, to adopt suitable measures to ensure that their implementations are commensurate with the need to maintain confidentiality of the algorithm set. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 5 Use of the algorithm specification | This clause addresses ownership of the algorithm set specification, to define which types of organisations are entitled to obtain a copy of the algorithm set specification, and to outline how and under what conditions such organisations may obtain the specification. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 5.1 Ownership | The algorithm set and all copyright to the algorithm set and test data specifications shall be owned exclusively by ETSI.
The design authority for the algorithm set shall be ETSI SAGE. Amendments to the algorithm set specification may be made only by ETSI SAGE under instruction authorised by the ETSI Board.
The algorithm set specification shall not be published as an ETSI standard or otherwise made publicly available, but shall be provided to organisations that need and are entitled to receive it subject to a licence and confidentiality agreement.
The licence and confidentiality agreement shall require recipients of the specification not to attempt to patent the algorithm or otherwise register any and IPR relating to the algorithm set or its use. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 5.2 Users of the specification | The algorithm set specification may be made available to those who need the algorithm set specification in order to build equipment or components (including IC cards) which embody (parts of) the algorithm set, according to the GSM-CTS standard. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 5.3 Licensing | Users of the algorithm set specification shall be required to sign a restricted usage and confidentiality agreement with ETSI.
Appropriate restricted usage and confidentiality agreements shall be drawn up by ETSI.
Usage shall be royalty free. However, the algorithm set custodian may impose a small charge to cover administrative costs involved in issuing the licenses.
The license and confidentiality agreement signed by an organisation that needs the algorithm set specification in order to build equipment or components which embody (part of) the algorithm set, shall require that organisation to adopt measures to ensure that its implementations of the algorithm set are commensurate with the need to maintain confidentiality of the algorithm. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 5.4 Management of the specification | The distribution procedure for the algorithm set specification shall be specified by ETSI. SAGE is expected to design the appropriate procedure for the distribution of the algorithm set after consulting ETSI SMG and GSM Association Security Group. The outline procedure is as follows:
- ETSI shall appoint a custodian for administration of the algorithm set specification;
- an organisation which intends to build equipment or components that embody (or part of) the algorithm set may request copies of the algorithm set specification (and test data) and a licence to use the algorithm set from the custodian;
- if an organisation mentioned above is entitled to use the algorithm set, the custodian shall issue the requested algorithm specifications subject to the organisation signing a licence and confidentiality agreement;
- at least manufacturers of CTS equipment who are ETSI members are entitled to the algorithms set of specifications. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6 Functional requirements | ETSI SAGE are required to design an algorithm set which satisfies the functional requirements specified in this clause. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1 Composition of the Algorithm Set and Type and Parameters of Algorithms | As specified in GSM 03.20 annex E, the algorithm set contains the following algorithms:
B1: Shall be used to compute the Kc from Ka and CH1. The algorithm shall have the following properties:
Input 1: Bit string of length |Ka|;
Input 2: Bit string of length |CH1|;
Output: Bit string of length |Kc|.
The algorithm should be designed such that it is difficult to infer any information about Input 1 from the knowledge of Input 2 and the Output (even if the details of the algorithm are known). Similarly it shall be difficult to infer any information about the Output from only the knowledge of Input 2.
B2: Shall be used to compute Ka from RIMS, RIFP, and FPAC. The algorithm shall have the following properties:
Input 1: Bit string of length |FPAC|;
Input 2: Bit string of length |RIMS|;
Input 3: Bit string of length |RIFP|;
Output: Bit string of length Ka.
The algorithm should be designed such that it is difficult to infer any information about Input 1 from the knowledge of Input 2, Input 3 and Output 1 (even if the details of the algorithm are known). Similarly it shall be difficult to infer any information about the Output from only the knowledge of Input 2 and Input 3.
B3: Shall be used to compute (X)SRES1 from Ka and CH1. The algorithm shall have the following properties:
Input 1: Bit string of length |Ka|;
Input 2: Bit string of length |CH1|;
Output: Bit string of length |(X)SRES1|.
The algorithm should be designed such that it is difficult to infer any information about Input 1 from the knowledge of Input 2 and the Output (even if the details of the algorithm are known). Similarly it shall be difficult to infer any information about the Output from only the knowledge of Input 2.
B4: Shall be used to compute (X)SRES2 from Ka and CH2.The algorithm shall have the following properties:
Input 1: Bit string of length |Ka|;
Input 2: Bit string of length |CH2|;
Output: Bit string of length |(X)SRES2|.
The algorithm should be designed such that it is difficult to infer any information about Input 1 from the knowledge of Input 2 and the Output (even if the details of the algorithm are known). Similarly it shall be difficult to infer any information about the Output from only the knowledge of Input 2.
The mutual authentication offered by B3 and B4 shall be protected against a reflection attack (e.g. by using a key offset method).
B5: Shall be used to compute MAC1 from Kop and Data1. The algorithm shall have the following properties:
Input 1: Bit string of length |Kop|;
Input 2: Bit string of length |Data1|;
Output: Bit string of length |MAC1|.
The algorithm should be designed such that it is difficult to infer any information about Input 1 from the knowledge of Input 2 and the Output (even if the details of the algorithm are known). Similarly it shall be difficult to infer any information about the Output from only the knowledge of Input 2.
B6: Shall be used to compute MAC2 from Kop and Data2. The algorithm shall have the following properties:
Input 1: Bit string of length |Kop|;
Input 2: Bit string of length |Data2|;
Output: Bit string of length |MAC2|.
The algorithm should be designed such that it is difficult to infer any information about Input 1 from the knowledge of Input 2 and the Output (even if the details of the algorithm are known). Similarly it shall be difficult to infer any information about the Output from only the knowledge of Input 2.
As long as the resilience requirements on the algorithm set are not violated, all algorithms in the set do not need to be distinct and complete. Indeed large parts of algorithm specifications might be identical.
Figure 1 shows the use of B3 and B4 to obtain mutual authentication between a CTS-MS and a CTS-FP, and the use of B1 for generating the ciphering key Kcx.
Figure 1: Mutual authentication of CTS-MS and CTS-FP using B3 and B4 and ciphering key Kcx generation by B1
Figure 2 shows the use of B2 to generate the key Ka.
Figure 2: Generation of initial key Ka
Figure 3:Computation of the result of the authentication of the CTS-FP using Kop and B5 algorithm
Figure 4 : Generation of the signature of the data sequence Data2 using Kop and B6 |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.1 FPAC | The CTS-FP is equipped with a manufacturer installed FPAC code. The FPAC is unstructured data. The FPAC is used to facilitate initial mutual authentication of CTS-MS and CTS-FP and to facilitate encryption set-up.
The length of the FPAC is 128 bits. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.2 CH1 and CH2 | The challenge from CTS-FP to CTS-MS (CH1) and the challenge from CTS-MS to CTS-FP (CH2) are random 128 bit strings.
6.1.3 Ka
The authentication key is unstructured data. It is generated by algorithm B2 from FPAC and two random inputs RIMS (generated by CTS-FP and sent to CTS-MS) and RIFP (generated by CTS-MS and sent to CTS-FP). The length is 128 bits.
6.1.4 Kc
The ciphering key (Kc) is unstructured data. It is generated by algorithm B1 from the authentication key Ka and the random challenge CH1. The length is 64 bits. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.5 Kop | The authentication key (Kop) is unstructured data. This key is generated from an authentication key stored on the FP-SIM and a key generation algorithm A8’ as described in GSM03.20 Annex E. The length is 128 bits. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.6 Data1 | The data sequence (Data1) is unstructured data. It length is n bytes. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.7 Data2 | The data sequence (Data2) is unstructured data. It length is n bytes. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.8 MAC1 | The authentication result (MAC1) is unstructured data. (MAC1) is computed form Kop and Data1 using the B5 algorithm. MAC1=B5(Kop, Data1).The length is 128 bits. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.9 MAC2 | The signature (MAC2) is unstructured data. The signature (MAC2) is generated using Kop and a sequence Data2. MAC2=B6(Kop, Data2). The length is 128 bits. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.10 SRES1 and SRES2 | The response sent from CTS-MS to CTS-FP (SRES1) and the response sent from CTS-FP to CTS-MS (SRES2) are 32 bit values computed from the authentication key (Ka) and the challenges CH1 and CH2 respectively. SRES1=B3(Ka,CH1) and SRES2=B4(Ka,CH2). |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.11 RIMS and RIFP | The generation of Ka through algorithm B2 involves the use of two random values RIMS and RIFP. RIMS is sent from CTS-FP to CTS-MS and RIFP is sent from CTS-MS to CTS-FP. Both RIMS and RIFP are 64 bits long. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.1.12 SRES1 and SRES2 | The response expected by the CTS-FP (XSRES1) and the response expected by the CTS-MS (XSRES2) are 32 bit values computed from the authentication key (Ka) and the challenges CH1 and CH2 respectively. XSRES1=B3(Ka,CH1) and XSRES2=B3(Ka,CH2). |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.2 Interfaces to the Algorithm | The dimensioning and definition of the interface parameters to the algorithms described in subclause 6.1 are listed below. In this listing X[i] denoted the i-th bit of the variable X.
FPAC 128 bits: FPAC[0], FPAC[1], …, FPAC[127]
CH1 128 bits: CH1[0], CH1[1],…, CH1[127]
CH2 128 bits: CH2[0], CH2[1],…, CH2[127]
Ka 128 bits: Ka[0], Ka[1],…, Ka[127]
Kc 64 bits: Kc [0], Kc [1],…, Kc [63]
Kop 128 bits: Kop[0], Kop[1],…, Kop[127]
Data1 n bytes: Data1[0], Data1[1],…, Data1[8n-1]
Data2 n bytes: Data2[0], Data2[1],…, Data2[8n-1]
MAC1 128 bits: MAC1[0], MAC1[1],…, MAC1[127]
MAC2 128 bits: MAC2[0], MAC2[1],…, MAC2[127]
SRES1 32 bits SRES1[0], SRES1[1],…, SRES1[31]
SRES2 32 bits SRES2[0], SRES2[1],…, SRES2[31]
RIMS 64 bits: RIMS[0], RIMS[1],…, RIMS[63]
RIFP 64 bits: RIFP[0], RIFP[1],…, RIFP[63]
XSRES1 32 bits XSRES1[0], XSRES1[1],…, XSRES1[31]
XSRES2 32 bits XSRES2[0], XSRES2[1],…, XSRES2[31] |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.3 Implementation and Operational Considerations | The algorithm should be designed for software implementations
As a reference, the set of the algorithms should be implementable on a 6805-family of microprocessors, in particular the Motorola SC21 series and Philips 83C852 series, running at 4 MHz. However the performance of the implementation of the algorithms should favourably scale when implementation is carried out on a 16-bit or 32-bit processor which support similar logical and arithmetical operations as found on the 6805-family but with larger word size.
For the reference platform it should be possible to realise an efficient state of the art implementation such that
- for each of the algorithms B1, B3, B4, the time for one operation is less than 200 milliseconds;
- for the algorithm B2 the time for one operation is less than 250 milliseconds;
- the complete set of algorithms can be implemented using less than 3000 bytes ROM and 128 bytes RAM. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 6.4 Resilience of Algorithm set | The algorithm set should be designed with a view to its continued use for a period of at least 15 years.
The algorithm set should be designed such that:
- the strength of the individual algorithms should not be significantly less than indicated by its key parameter(s);
- the requirements on the individual algorithms listed in subclause 6.1 should be fulfilled.
ETSI SAGE are required to design the algorithm set to a strength which reflects the above requirements but imposes minimal restrictions on the exportability of equipment that is fitted with the algorithm. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 7 Algorithm specification and test data requirements | ETSI SAGE are required to provide four separate deliverables: a specification of the algorithm, a set of design conformance test data, a set of algorithm input/output test data and a design and evaluation report. Requirements on the specification and test data deliverables are given in this clause, those on the design and evaluation report in subclause 8.3.
The design of the algorithm set will have a pre-evaluation phase. Equipment manufacturers/organisations that have contributed to the funding of the SAGE design work for this algorithm set are allowed to participate in this evaluation and can get access to the algorithm specifications as they stand.
The purpose of the pre-evaluation phase is to allow manufacturers/implementators early visibility of the structure of the algorithm(s) so that they can assess what is involved in its implementation, and confirm that there are no problems in realising the design in the target environment. They will be provided with an algorithm specification that accurately reflects structure and processing requirements of the algorithm set. Any changes between pre-evaluation specification and the final specification are not expected to have any significant impact on code size or algorithm timing.
The specification shall include an annex which provides simulation code written in ANSI C. Access requires a non-disclosure agreement between the manufacturer/organisation and ETSI SAGE.
Those equipment manufacturers/organisations that do not contribute will get access to algorithm set specification only after the SAGE work has been completed. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 7.1 Specification of the algorithm set | An unambiguous specification of the algorithm set needs to be provided which is suitable for use by implementors of the algorithm set.
The specification shall include an annex which provides simulation code for the algorithm set written in ANSI C. The specification may also include an annex containing illustrations of functional elements of the algorithm set. |
7e80bf24517beeb9be2fa8c530e8ca88 | 01.56 | 7.2 Design conformance test data | Design conformance test data is required to allow implementors of the algorithm set to test their implementations.
The test data needs to be designed to give a high degree of confidence in the correctness of implementations of the algorithm set.
The test data shall be designed so that significant points in the execution of the algorithm may be verified. |
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